Professional Education FAQs

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

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

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

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

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

  6. Where can I look for a financial planner?

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

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

  9. You are analyzing a small company's financials, and notice that the bookkeeper made ...

  10. Money laundering has become a specific concern in all legitimate financial institutions ...

  11. When a broker-dealer has decided to provide its registered representatives with ...

  12. Under the Uniform Securities Act, federal covered securities include those sold ...

  13. A sales representative or broker-dealer that violates the Uniform Securities Act ...

  14. Cousin Eddie purchased 250 shares of WES stock for $10,000. One year later ...

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

  16. Michael Feinberg sends a memo to his star investment advisor ...

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

  18. When a corporation wishes to open a margin account with a broker-dealer ...

  19. When a registered representative opens a new options account for a client ...

  20. If an investor has a required rate of return of 10% on a 20-year zero ...

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

  22. Which of the following statements regarding rollovers versus transfers of IRA accounts ...

  23. Under the Uniform Securities Act, registration with the Administrator as an investment ...

  24. Under the Uniform Securities Act, which of the following actions is permitted for ...

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

  26. An advisor has all client advisory fees automatically deducted from their accounts ...

  27. Mandy Edwards owns 100 shares in the PruRock Value Fund. She could use a little ...

  28. Which of the following equity trades would appear on the ticker ...

  29. Use the following information about a customer’s margin account to answer the question ...

  30. Which of the following signatures are required on a client’s new account form ... ...

  31. A _______ is a person on the trading floor of certain exchanges who holds an inventory ...

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

  33. An investor with 1,000 shares of the Amazing Growth fund places a redemption order ...

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

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

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

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

  38. When an agent of a broker-dealer begins employment with another broker-dealer ... ...

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

  40. During a disastrous trading day on the NYSE, the DJIA is down by 21% (a Level 2 ...

  41. When an investor is watching a proposed corporate merger and buys the stock of the ...

  42. It is now 6 month after you just purchased a $1,000 face value TIPS ...

  43. Zero coupon bonds are frequently cited as a popular investment vehicle for education ...

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

  45. If an issuer wishes to register a security in the state ...

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

  47. Your firm is a registered investment advisor that specializes in investment management ...

  48. Which of the following best describes American Depository Receipts (ADRs) ...

  49. Tiffany's brother, Jamal, is a new investor but believes that the markets are basically ...

  50. You currently own a mutual fund with a Net Asset Value (NAV) of $11.25 ...

  51. The term “wildcatting” in DPPs is typically used to refer to which of the following ...

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

  53. Which one of the following uses of the "CFA" trademark is correct ...

  54. Which of the following deliveries for a 600 share order, broker-dealer to broker-dealer ...

  55. A registered representative has discovered an article in a major news magazine that ...

  56. Under the Uniform Securities Law, broker-dealers are required to sign a consent ...

  57. Under the Uniform Securities Act, there are anti-fraud provisions that apply to ...

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

  59. By expanding its current broker-dealer business to include financial planning and ...

  60. The general investing public is under the opinion that today's new tech stock is ...

  61. If a person's account is frozen, which of the following activities is allowed ... ...

  62. Under the Telephone Consumer Act of 1991, a telemarketer must provide which of the ...

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

  64. Price taker markets differ from price searcher markets because in a price taker ...

  65. There are several major factors that make mutual funds attractive investments for ...

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

  67. Under the Uniform Securities Act, registration requirements for an investment adviser ...

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

  69. What two components are used to calculate risk-adjusted return? I ...

  70. Mrs Jaxsonheim is considered one of StrateShooter National Bank's best and most ...

  71. Ronnie has just created her own publishing company and, as the sole owner ...

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

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

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

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

  76. Bob is a registered representative who recently left ABC Securities and has now ...

  77. If a sales representative moves from one broker-dealer to another ...

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

  79. One way to determine the volatility of a bond is to calculate its duration ...

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

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

  82. A brokerage customer has $10,000 in securities and a credit balance of $4,000 ... ...

  83. In the separate account of a variable annuity, which of the following characteristics ...

  84. Which of the following is not a reason why a company might issue a stock dividend ...

  85. A customer has a short margin account. The account has equity of $15,000 ...

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

  87. Which of the following are major differences between accumulation units and annuity ...

  88. Under the Uniform Securities Act, client information may not be disclosed to a third ...

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

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

  91. Jason Sanborn is a senior-level executive with Beanster Brew, one of the world's ...

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

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

  94. The Standard and Poor’s 100 index closed on August 20 at 536.04 ...

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

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

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

  98. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ... ...

  99. Federal covered securities are subject to which of the following requirements ... ...

  100. Under the Uniform Securities Act, which of the following advisers is NOT defined ...

  • Showing 1-100 of 233 items
  • 1
  • 2
  • 3
  • >>
Trading Center