Professional Education FAQs

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

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

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

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

  5. Is variance good or bad for stock investors?

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

  7. Where do I take the Series 63 examination?

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

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

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

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

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

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

  14. How is the Series 63 exam set up?

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

  16. How long is the Series 63 exam?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  38. Does agency theory apply to brokers and clients?

  39. How difficult is it to understand business analytics?

  40. Who benefits the most from prepaid expenses?

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

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

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

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

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

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

  47. Where can I look for a financial planner?

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

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

  50. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

  51. The Shur-Gro variable annuity uses an AIR of 3% for those contract holders who are ...

  52. Sometimes investment banking firms allocate shares of hot issues to the personal ...

  53. Donald has been putting aside money for his retirement into a Roth IRA for six years.  Although ...

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

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

  56. An individual has started investments of $100/month into a spread-load ...

  57. Based on the Employment Retirement Income Security Act (ERISA), a retirement plan ...

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

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

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

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

  62. A registered representative has been following PDQ stock in the market over the past ...

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

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

  65. When an investor reads that a mutual fund charges 12(b)-1 fees ...

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

  67. At year-end 2004, the Federal Reserve reported moderate economic growth of 3% ...

  68. Laura bought 200 shares of GE at $80 on a 70% margin and received a margin call ...

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

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

  71. A market maker in the stock ABCD has filled a portfolio over time with prices as ...

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

  73. Which of the following qualifies as an Investment Advisor Representative ...

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

  75. ABC Broker-dealer has no office in state and transacts fewer than five trades during ...

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

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

  78. In which of the following ways can investor qualify for a breakpoint ...

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

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

  81. The Administrator issue may issue a stop order for a federal covered security under ...

  82. The popular trading system "Instinet" is situated in which of the following markets ...

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

  84. A person purchases stock XYZ (an Over The Counter stock) from a company who is also ...

  85. An individual made a lump-sum deposit into a variable annuity of $25,000 ...

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

  87. Which of the following terms are associated with the purchase/redemption of open-end ...

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

  89. Which of the following statements regarding Real Estate Limited Partnerships (RELPs) ...

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

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

  92. Under the Uniform Securities Act, the registration of an investment adviser results ...

  93. Justin and Britney, multi-millionaires, want to make the maximum gift of cash to ...

  94. Just prior to the close of the markets on the final trading day before expiration ...

  95. When evaluating an individual's current financial status, liquid net worth would ...

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

  97. Under the Uniform Securities Act, the statute of limitations for criminal suits is ...

  98. Unemployment resulting from changes in the basic composition of the economy ...

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

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

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