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       CODE: 162.167-038 Buy the DOT:Download/CD-ROM
TITLE(s): SECURITIES TRADER (financial) alternate titles: broker; trader
Purchases and sells securities for brokerage firm: Receives sales order ticket from REGISTERED
REPRESENTATIVE (financial) 250.257-018, and inspects form to ensure accuracy of information.
Contacts market maker (securities exchange or brokerage firm that is trading requested securities)
to execute client orders for purchase or sale of securities, or completes transaction independently
if brokerage firm is market maker in requested securities. Writes and signs sales order confirmation
forms to record and approve securities transactions. Reviews all securities transactions to ensure
that trades conform to regulations of Securities and Exchange Commission, National Association of
Securities Dealers, and other government agencies. Must pass state examination to receive license
and become registered to trade securities. May prepare financial reports to monitor corporate
finances. May have management or supervisory responsibility for department employees. May provide
clients with information on investments, and sell securities and other financial services
[REGISTERED REPRESENTATIVE (financial)].
GOE: 11.06.03 STRENGTH: S GED: R5 M4 L5 SVP: 7 DLU: 89
ONET CROSSWALK: 43014A Sales Agents, Securities and Commodities
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