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Professional Education FAQs

  1.

    Where can I look for a financial planner?

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

  3. Can I still pass the CFA Level I if I do poorly in the ethics section?

  4. Where do most fund managers get their market information?

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

  6. How much money do I need to start trading?

  7. A sales representative is permitted to take all of the following actions EXCEPT:

  8. Transactions are exempt from registration where …

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

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

  11. What certification series does one need to be a bond broker?

  12. How do I choose which insurance company to use?

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

  14. The de Minimis clause for investment advisers means:

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

  16. 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?

  17. I'm a teacher. Which is better for me, a 401(k) or 403(b)? What is the difference? From whom do I get these plans?

  18. Is it important to check the professional history of my investment advisor?

  19. I am a teacher in a public school system and I don't presently have a 403(b) plan, but I do have some money in a Roth IRA and also a self-directed IRA. Can I roll my IRA funds into a newly opened 403(b) plan, since I am presently employed by the school sy

  20. I've heard some "market gurus" claim returns of up to 400% annually. Is this possible?

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

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

  23. There are so many stockbrokers out there. How do I go about choosing the best one for me?

  24. Why won't my broker allow me to sell one stock and buy another on the same day?

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

  26. Why do brokers ask for personal information before they make any trades?

  27. How many attempts at the Series 7 exam are permitted?

  28. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

  29. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

  30. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

  31. Do I have to complete all exams within a certain period of time to receive the CFA charter?

  32. How do I become a CFA charterholder?

  33. What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

  34. Which States do not require a Representative to write the Series 63 exam?

  35. Do I have to reach a certain age before I can write an NASD exam?

  36. How do I receive sponsorship from a member firm in order to write a Series 7 exam?

  37. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner (CFP)certification examination?

  38. I failed the Series 6 exam. How long must I wait before I can re-take it?

  39. Is it possible to take the Series 6 exam without being sponsored?

  40. Do I need to be sponsored or employed by a member firm in order to write the Series 66 exam?

  41. When must the required three years of qualifying work experience be completed in order to become a CFA charterholder?

  42. What personal items am I allowed to bring with me into the CFA exam testing room?

  43. Can I bring food and drink into the CFA testing room?

  44. If I do not have a U.S. Bachelor's Degree or equivalent, can I still qualify for registration in the CFA program?

  45. If I already hold a professional certification am I eligible for any exemptions from CFA Program requirements?

  46. I am interested in pursing the CFA charter, but I do not have a degree in business and have not worked within the financial or investment environment. Do I still have a chance of successfully completing the course?

  47. Is there any difference between a holder of a Chartered Financial Analyst Designation and a Certified Financial Analyst?

  48. What type of work experience can count towards the work experience required in order to obtain the CFA charter?

  49. What forms of ID are acceptable for admittance into the CFA examination room?

  50. How many attempts at each CFA exam is a candidate permitted?

  51. What is the maximum amount of time that can elapse between CFA examinations?

  52. Is it required to order the CFA guides in order to prepare for the CFA?

  53. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

  54. What careers are popular among CFA charterholders?

  55. Can I obtain my CFA charter without U.S. work experience?

  56. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  57. How long will my Series 7 license last after my employment has been terminated at a member firm?

  58. I have not received my Series 7 exam certificate. Where can I obtain it?

  59. At what point in the ordering process does a broker charge commission?

  60. How do I find a testing facility in my area?

  61. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

  62. If I have already completed the Series 6 examination, do I have to complete the entire Series 7, or can I take a modified version?

  63. Where are the testing centers for the Series 7 examination?

  64. Are there any continuing education requirements after I pass the Series 7 examination?

  65. Does FINRA make any allowances for people whose first language is not English?

  66. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

  67. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  68. Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

  69. Am I qualified once I complete my FINRA certification exam?

  70. Where can I find a copy of an old Series 7 exam?

  71. What is the difference between Series 9/10 and Series 24 qualification exams?

  72. I failed the Series 7 exam. How long must I wait before I can take it again?

  73. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

  74. Which popular professional certification exams do not require sponsorship?

  75. Is it possible to take the Series 7 exam without being sponsored?

  76. Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

  77. How can I withdraw from my CFA Level 1 exam?

  78. What education is required from me to write the Series 7 examination?

  79. How do I register for the CFA program for the first time?

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

  81. What are the Gnomes of Zurich?

  82. What is a rainmaker?

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Last Questions Asked:
  1.

    Where can I look for a financial planner?

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

  3. Can I still pass the CFA Level I if I do poorly in the ethics section?

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