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Financial Careers FAQs

  1. If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

  2. Under the USA, registration as an IAR includes all of the following EXCEPT:

  3. An IA’s client has a primary goal of tax reduction and a secondary goal of current income. Which investment would be most appropriate?

  4. How quickly should my financial advisor sell a stock that I have asked him or her to sell for me?

  5. What is a typical day in the life of a stockbroker, from start to finish?

  6. The de Minimis clause for investment advisers means:

  7. Investment advisors must register with the SEC when their assets under management total what amount?

  8. Your client has a net short-term gain of $3,000 and a net long-term loss of $8,000. Which of the following statements are true?

  9. How can I find an investment club in my area?

  10. What is a typical day in the life of someone in M&A? How long does a project last?

  11. What is a rainmaker?

  12. Is an earnings surprise priced into the opening value by market makers or does the buyer/seller response drive the price?

  13. What are the requirements that a trust needs to meet to be qualified?

  14. What are the Gnomes of Zurich?

  15. What is the difference between a buy-side analyst and a sell-side analyst?

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Last Questions Asked:
  1.

    If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

  2. Under the USA, registration as an IAR includes all of the following EXCEPT:

  3. An IA’s client has a primary goal of tax reduction and a secondary goal of current income. Which investment would be most appropriate?

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