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CERTIFICATION EXAM APPLICATION CHECKLIST Exam Dates September 10 October 10, 2019, Applications must be received by, 2019Application Accepted May 1, 2019, June 15, 2019, Member: $435 Nonmember: $485

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Examinations by form securities refer to the process of submitting detailed information and documentation related to securities holdings and transactions.

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Individuals or entities involved in securities trading or holding are required to file examinations by form securities.

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The purpose of examinations by form securities is to ensure transparency and regulatory compliance in securities trading activities.

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Information such as details of securities holdings, transactions, ownership interests, and related financial information must be reported on examinations by form securities.

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