Professional Education FAQs

  1. Is a financial advisor required to have a degree?

  2. Do financial advisors work only in banks?

  3. How is the Federal Reserve audited?

  4. What are the benefits of financial sampling?

  5. What are the differences between a Chartered Financial Analyst (CFA) and a Certified ...

  6. What are the benefits of hiring a Chartered Financial Analyst (CFA) to be my financial ...

  7. How do I become a Chartered Financial Analyst (CFA)?

  8. What types of positions might a Chartered Financial Analyst (CFA) hold?

  9. How do I get started with a career in asset management?

  10. How can I protect my business from my spouse during a high net worth divorce?

  11. How do I attract high net worth individuals (HNWI) as clients at my financial advisor ...

  12. If I have only a limited amount of time to study for the Series 6, what should I ...

  13. What is the difference between federal and state withholding tax?

  14. What role does the 'chip cycle' play in the electronics sector?

  15. What developed countries have the highest concentration in the banking sector?

  16. What does passing the Series 6 enable me to do?

  17. What is the difference between variance and standard deviation?

  18. What kinds of acts pertaining to interests in collective investment schemes are excluded ...

  19. What is the relationship between the hurdle rate (MARR) and the Internal Rate of ...

  20. What are the differences between the Series 6 exam and the Series 7 exam?

  21. What licenses and certifications do you need for a career in portfolio management?

  22. Do I have to successfully complete the Series 7 exam before I can register for the ...

  23. I completed the Series 6, do I have to complete the entire Series 7?

  24. What should you take into consideration when choosing a portfolio management service?

  25. I need special accommodations when taking the Series 63 exam. How are such arrangements ...

  26. Do I need a class to take the Series 63 exam?

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

  28. How do you interpret the magnitude of the covariance between two variables?

  29. Is variance good or bad for stock investors?

  30. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

  31. Where do I take the Series 63 examination?

  32. I decided not to take the Series 63 exam. Can I get a refund?

  33. What are my options if I fail my Series 63 exam?

  34. Are all mortgage backed securities (MBS) also collateralized debt obligations (CDO)?

  35. How much time can I expect to spend on studying for the Series 63 exam?

  36. How do I sign up for a Series 63 exam as a foreign national if I don’t have a Social ...

  37. What should I bring to the Series 63 exam?

  38. How is the Series 63 exam set up?

  39. My scores on the Series 63 average a passing grade, but the testing center said I ...

  40. How long is the validity period for a Series 63 exam if I have not been registered?

  41. Can you trade securities before you pass the Series 63 exam?

  42. How long is the Series 63 exam?

  43. Are there any continuing education requirements for Series 63 exams?

  44. Where do I get a certificate or other evidence of passing the Series 63 exam?

  45. How can I report a problem that occurred on my Series 63 exam?

  46. I would like a refund for my Series 63 exam. What should I do?

  47. What is the best way to study for the series 63 exam?

  48. My 120-day Series 63 exam window is about to close, but I need more time to study. ...

  49. Do I have to be a U.S. citizen to sit for the Series 63 exam?

  50. I gave an answer on the test from my study guide that was scored wrong on the Series ...

  51. Do I need to pass the Series 63 if I am just taking orders for securities?

  52. Is there a limit on the number of times I can re-take the Series 63 exam?

  53. How long must I wait after failing the Series 63 exam before I can take it again?

  54. Which version of the Uniform Securities Act should I study to prepare for my Series ...

  55. Are waivers granted to the 180-day waiting period to re-take the Series 63 exam?

  56. If I failed the Series 66, does the waiting period apply if I want to take the Series ...

  57. Does NASAA or anyone else give out the series 63 exam questions?

  58. Are series 63 exams given outside of the United States?

  59. How often, and how, is a series 63 exam updated?

  60. How many people fail the series 63 exam every year?

  61. What is the difference between portfolio management and financial planning?

  62. Does agency theory apply to brokers and clients?

  63. How difficult is it to understand business analytics?

  64. Who benefits the most from prepaid expenses?

  65. How does lack of corporate social responsibility hurt a company's bottom line?

  66. What's the average salary of someone with a finance major?

  67. What are the reasons that cause financial advisors to fail in their careers?

  68. What's the difference between a financial advisor and a financial planner?

  69. What's the difference between a CFA and a CPA?

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

  71. Where can I look for a financial planner?

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

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

  74. A person whose registration has been revoked by an Administrator due to a felony ...

  75. Which of the following, under the NASD Conduct Rules, would constitute a complaint ...

  76. Under the Investment Company Act of 1940, which of the following is not a formal ...

  77. When a floor broker asks a specialist, “How’s PDQ?” ...

  78. A man opened a Uniform Transfers to Minors Account for his grandson several years ...

  79. Peterson Jewels plans to offer $200,000 in securities to finance its expansion to ...

  80. Sheila is a registered representative with YTR Investments. One of her clients ...

  81. Your client, Todd, owns 100 shares HAT stock in his taxable stock portfolio ...

  82. The broadest measure of the activity and movement of the overall stock market can ...

  83. An order for corporate bonds marked "4M95." In total this order would be worth ...

  84. Which statements about common shareholder rights are FALSE? I. A shareholder may ...

  85. Ben is employed by the underwriter of the PCO mutual fund ...

  86. Mike is a highly compensated employee of XYZ Company, his company has offered him ...

  87. The Chairman of Bright Star Life and Casual had a meeting with his broker this afternoon ...

  88. An investor owns 100 shares of LKI at $58. He needs to limit his loss to 5 points ...

  89. A sales representative solicits and executes a mutual fund trade ...

  90. Your neighbor asks you about Municipal Bonds, you would be correct in telling him ...

  91. Below is an example of US Treasury yields for various maturities ...

  92. A church that a registered representative (RR) attends plans to raise the funds necessary ...

  93. Which of the following would be considered “sales literature” under the NASD’s definition ...

  94. A customer sells a 6% corporate bond on Tuesday October 4th for regular settlement ...

  95. If ABC Company had the following Income Statement figures, what is the Operating ...

  96. According to SEC Release IA-1092, which of the following would NOT qualify as an ...

  97. Under the Uniform Securities Act, all of the following are prohibited EXCEPT ...

  98. All of the following are unethical behaviors prohibited under the Uniform Securities ...

  99. Dave, a conservative investor, comes to you for advice on a diversified fixed-income ...

  100. An investor opened a ten-year, $100/month front-end load periodic payment plan 14 ...

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