How does a broker obtain broker qualification?

1. You must pass the broker qualification certification:

That is to confirm whether you are qualified to become a broker. According to Article 6 of the Broker Management Measures, persons applying to engage in brokerage activities must meet the following conditions:

1. Have full capacity for civil conduct;

2. Have the necessary qualifications to engage in brokerage activities Knowledge and skills;

3. Have a fixed residence;

4. Master the relevant national laws, regulations and policies;

5. Before applying for brokerage qualifications Those who have not committed any crime or economic violation for three consecutive years can apply to engage in brokerage activities after being assessed and approved by the industrial and commercial administration authorities and obtaining a brokerage qualification certificate. 2. Must pass the assessment.

According to the "Broker Management Measures" issued by the State Administration for Industry and Commerce and the specific regulations of relevant provinces and cities, broker training, assessment and certification are organized and implemented by the industrial and commercial administration authorities at or above the county level. , or can be entrusted to relevant units. The contents of the training and assessment include the knowledge and skills required for engaging in brokerage activities, as well as relevant laws, regulations, professional ethics, etc. After passing the training and assessment, a certificate will be issued to the industry and commerce authority that issued the license. The administrative agency shall apply and issue a "Broker Qualification Certificate" after approval. Applications for professional broker qualification certificates in technology, real estate, and other special industries stipulated in laws and administrative regulations shall be managed by the provincial or municipal (prefecture) industrial and commercial administration. The department will work with relevant administrative departments to train, review, assess and issue certificates.

3. Persons who have obtained the "Broker Qualification Certificate" can apply to establish a brokerage enterprise, a partnership brokerage organization, and apply to register as an independent broker.

[Edit this paragraph] Classification of brokers

Brokers can be divided into general brokers and special industry brokers. Special industry brokers refer to those engaged in finance, insurance, and other industries. Professional brokers in the securities, futures, technology, real estate and other industries must pass professional training and pass the assessment to obtain a professional broker qualification certificate before they can work.

General brokers: The so-called general brokers refer to them. A middleman who engages in commodity transactions that are permitted by the state and does not belong to a special industry. The main economic activity of a general broker is to find sellers for buyers of commodities, find buyers for sellers, and connect buyers and sellers to facilitate transactions between buyers and sellers. Brokers are also called commercial brokers in areas where the foreign brokerage industry is developed. In its meaning, they provide intermediary services for users in commodity transactions, including real estate sales, production materials, daily necessities and other transactions, transfers, idle equipment rentals or Intermediary services in sales, transportation, etc. An excellent commercial broker (general broker) or an excellent commercial brokerage company not only has very good social relations, but also has very good reputation and social fairness. Image, they work strictly in accordance with the principles and actively find buyers for the client (user). At the same time, they are also experts in the industry and have rich professional knowledge and understanding of the industry. Therefore, for a user, it is very important to find and find buyers. A good brokerage company or broker has undoubtedly discovered and found a "golden mountain".

Futures brokers: Due to the characteristics of futures trading, futures brokers are generally divided into two categories: brokerage companies and brokers.

Technology brokers: Technology brokers refer to citizens, legal persons and other economic organizations that engage in intermediary, brokerage or agency business for the purpose of collecting commissions and facilitating other people's technology transactions.

Labor brokers: Institutions, companies, individuals, etc. that engage in labor intermediaries for the purpose of obtaining commissions.

Real estate agent: A real estate agent is an intermediary who conducts real estate investments or transactions on behalf of clients in order to obtain commission income. Real estate agents are generally divided into two categories: corporate real estate agents and individual real estate agents. Specialist real estate agents and general real estate agents.

Cultural and sports agents: Cultural and sports agents refer to cultural and art agents and sports agents. The service targets of cultural and art agents are people in the cultural and art circles. Sports agents serve people in the sports world.

[Edit this paragraph] The role of brokers

Brokers are the product of market economy. It plays an obvious positive role in developing the economy, promoting circulation, and prospering the market. The way of survival of brokers is different from other merchants, and the diversity of information sources gives brokers a unique function in solving the contradiction between supply and demand of goods. Specifically:

(1) There are many social connections, good market information, and high work efficiency, helping companies solve the contradiction between supply and demand and open up market sales.

(2) The market system includes the market for production materials, the market for daily necessities, technology, talent, labor, capital, real estate and other markets, all of which require a large number of brokers to act as intermediaries, provide information, introduce customers, and match up. make a deal.

(3) Help enterprises introduce advanced foreign technology, capital and management experience to expand export trade.

(4) Promote the prosperity of cultural and sports undertakings, cultivate the cultural market, and enrich people’s lives.

[Edit this paragraph] Agent’s professional ethics

“Four musts”

Agent must be honest, trustworthy and have good moral character;

Brokers must faithfully protect the interests of their clients;

Brokers must abide by rules and regulations, and their business activities must comply with laws, regulations and industry management regulations and requirements;

Brokers People must be professional, capable, and have a strong sense of professionalism and responsibility.

"Eight Don'ts"

Brokers cannot engage in or participate in brokerage activities involving state-controlled commodities and state secrets;

Brokers cannot engage in smuggling, Brokerage activities of contraband, counterfeit and shoddy goods;

Brokers cannot engage in brokerage activities prohibited by the international community;

Brokers cannot exceed the scope and authority of the client's entrustment or carry out relevant transactions beyond their authority. Brokerage activities;

Brokers cannot privately set up and collect off-book commissions or ask for additional remuneration; 6. Brokers cannot undertake or accept brokerage activities beyond their capabilities;

Brokers cannot Go beyond the intermediary service status and conduct physical sales or private transactions;

Brokers cannot violate the relevant national tax laws and engage in tax fraud or tax evasion activities.