Nov 13, 2019

Tests to Pass for Execution Trading

Hey all,

I'm thinking about doing execution trading for a career, and I was wondering what tests I would have to pass in order to be able to do that job? I'm assuming the series 7, but not sure if there are any others that I would have to take.

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4 Comments

AMInPhase1

Any advice would be greatly appreciated.

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AMInPhase1

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Whatever1984

I'm not sure the 7 is even required. The SIE maybe? Most securities exams are to make sure you know the law and the basics when dealing with unsophisticated retail investors. If a major HFT firm like Cantor, Knight, (old habits die hard) or Citadel hires some nincompoop and he botches trade execution, they should know better, and that's their problem.

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The only difference between Asset Management and Investment Research is assets. I generally see somebody I know on TV on Bloomberg/CNBC etc. once or twice a week. This sounds cool, until I remind myself that I see somebody I know on ESPN five days a week.

AMInPhase1

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Tests to Pass for Execution Trading

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Tests to Pass for Execution Trading

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