Protecting the public interest means assuring every individual's right to justice and equal opportunity. Regulators protect the public interest when they deny the right to practice to the incompetent and unscrupulous. Regulators protect the public interest when they eliminate barriers that unreasonably limit entry into a field of practice. Regulators protect the public interest when they refuse to use licensing or registration laws to settle private disputes. Regulators protect the public interest when they refuse to use licensing or registration laws to advance the interest of private trade associations. Regulators protect the public interest when they encourage free and open markets. Therefore, the public interest demands that regulators use their best efforts to achieve impartiality.

SEC required license for my Stocks, bonds, mutual funds, investments et al Agency with Qwest Capital 1995-2005 General Securities Representative Exam, commonly referred to as the Series 7 or Stockbroker Exam. The Series 7 license is the most comprehensive of several securities licenses that permit an agent to communicate with retail investors. For this reason, many account managers, analysts, and other executives in the employ of a registered Broker/Dealer hold Series 7 licenses.