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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. All of the following are allowable deductions used in determining taxable estate EXCEPT

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

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

  15. The de Minimis clause for investment advisers means:

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

  17. 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?

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

  19. 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?

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

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

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

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

  24. 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

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

  26. 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?

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

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

  29. What should I consider when I select an executor for my will?

  30. 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?

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

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

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

  34. What is a rainmaker?

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

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

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

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

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

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

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

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

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

  44. What careers are popular among CFA charterholders?

  45. 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?

  46. How do I become a CFA charterholder?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  63. 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?

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

  65. What are the Gnomes of Zurich?

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

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

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

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

  70. 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?

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

  72. What investments are available to someone with no earned income?

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

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

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

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

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

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

  79. 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?

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

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

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

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

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

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

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

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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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