• Registered Representative (RR) - a financial professional who is able to deal with client transactions in the securities markets.

  • RRs must pass strict licensing requirements, including the Series 7 and 63 exams, and must follow the rules set by FINRA and the SEC.
  • RRs must also maintain a standard of due diligence and discussions are ongoing among regulators to change this standard to a more stringent fiduciary standard.