Revised California (CA) Broker-Dealer License Practice Course

1. Proxsoft LLC Web URL: https://www.proxsoft.us Email ID: sales@ proxsoft.us Ph. No.: +1 (302) 591-7836 Address: 8 The Green, Suite A Dover, Delaware – 19901, USA Revised California (CA) Broker-Dealer License Practice Course About the Service:The guided study system features hands-on skills and drills developed by leading IT experts. Customizable tests allow you to focus on your weakest areas. Electronic flashcards help reinforce key concepts. Whether you are studying at home or traveling, Exam Mastery gets you ready for exam-day success! The program will calculate their score/percentile on the same questions that will appear on the actual certification exam when taken at the testing center. With that information, you'll be able to prepare yourself for what's ahead in your exam. Prepare for your certification exam with a targeted, self-paced learning program. Exam Learning Program is an easy-to-use online program designed to help you prepare for your exam and then increase your chances of passing it. Accessing URL of Practice Exam: https://proxsoft.us/product/study-california-ca-broker-dealer-license-practice-course-proxsoft/ License Description: Any person engaged in the business of effecting transactions in securities in California. Note: There are certain exclusions from definition of broker- dealer (Corporations Code Section 25004). There are also various exemptions from the certification requirements (Corporations Code Section 25210) for certain broker-dealers. Fees: Initial Application: $300. Annual Assessment: Minimum $75. Examination Frequency: Contact the Financial Industry Regulatory Authority (FINRA), successor to the National Association of Securities Dealers Regulation, Inc. (NASDR), concerning examination frequency. Exam Locations: Examine locations are determined by the FINRA. Experience Requirement: N/A Average Time to Process Application: Form BD (Uniform Application for Broker-Dealer Registration): 30 - 45 days; Application by Notification [Pursuant to Corporations Code Section 25211(b)]: Three (3) business days after application has been filed with the Commissioner or upon the day certificate is issued, whichever occurs first. Renewal Period: December 31 of each year. Special License Requirements: Every individual who is a broker-dealer, or compliance supervisor or reported agent of a broker-dealer shall pass the Uniform Securities Agent State Law Examination (Series 63) or the Uniform Combined State Law Examination (Series 66) and meet all applicable examination requirements of the Securities and Exchange Commission and the self-regulatory organization of which the broker-dealer is a member. Any person who intends to become a broker-dealer in California must apply for a broker-

2. Proxsoft LLC Web URL: https://www.proxsoft.us Email ID: sales@ proxsoft.us Ph. No.: +1 (302) 591-7836 Address: 8 The Green, Suite A Dover, Delaware – 19901, USA dealer certificate by filing an application. The application (Form BD) should be filed directly with the Central Registration Depository (""CRD""). Authority: Corporations Code, Sections 25210, 25211 and 25217. Licensing Agency: Department of Business Oversight Sacramento Office Public Affairs 1515 K Street, Suite 200 Sacramento, CA 95814 (916) 327 7585 Ask.DBO@dbo.ca.gov https://dbo.ca.gov/