Shauna Carther

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  1. Calculating The Present And Future Value Of Annuities
    Investing Basics

    Calculating The Present And Future Value Of Annuities

    At some point in your life, you may have had to make a series of fixed payments over a period of time - such as rent or car payments - or have received a series of payments over a period of time, such ...
  2. Rebalance Your Portfolio To Stay On Track
    Personal Finance

    Rebalance Your Portfolio To Stay On Track

    Like a tune-up for a car, this re-alignment should minimize trouble down the road.
  3. Achieving Optimal Asset Allocation
    Investing Basics

    Achieving Optimal Asset Allocation

    Minimizing risk while maximizing return is any investor's prime goal. The right mix of securities is the key to achieving your optimal asset allocation.
  4. 10 Golf Tips To Help Investors Tee Off
    Trading Strategies

    10 Golf Tips To Help Investors Tee Off

    There are a lot of similarities between golf and investing. Find out how to keep your game out of the rough.
  5. Understanding The Time Value Of Money
    Investing Basics

    Understanding The Time Value Of Money

    Find out why time really is money by learning to calculate present and future value.
  6. The Hidden Differences Between Index Funds
    Mutual Funds & ETFs

    The Hidden Differences Between Index Funds

    These funds don't all match index returns. Find out how to avoid costly surprises.
  7. Closing Mutual Funds: Investment Protection Or Trap?
    Mutual Funds & ETFs

    Closing Mutual Funds: Investment Protection Or Trap?

    Discover the characteristics of closing funds, the reasons why they close and key factors to consider.
  8. Understanding Volatility Measurements
    Mutual Funds & ETFs

    Understanding Volatility Measurements

    How do you choose a fund with an optimal risk-reward combination? We teach you about standard deviation, beta and more!
  9. Watch Out For The Mutual Fund Metamorphosis
    Mutual Funds & ETFs

    Watch Out For The Mutual Fund Metamorphosis

    A new name may make a fund look fresh and exciting, but has anything really changed?
  10. Digging Deeper: The Mutual Fund Prospectus
    Mutual Funds & ETFs

    Digging Deeper: The Mutual Fund Prospectus

    The legal jargon of this document can be daunting. Find out how to get to the important stuff.
  11. Mutual Fund Tune-Up Delivers High-Powered Performance
    Mutual Funds & ETFs

    Mutual Fund Tune-Up Delivers High-Powered Performance

    Rebalancing your portfolio will protect you from risk and ensure that your investments are performing at their best.
  12. Should You Follow Your Fund Manager?
    Mutual Funds & ETFs

    Should You Follow Your Fund Manager?

    Learn how to tell if a fund in flux is still a suitable investment.
  13. Socially (Ir)responsible Mutual Funds
    Mutual Funds & ETFs

    Socially (Ir)responsible Mutual Funds

    Not concerned about being an ethical investor? Maybe "sinful stocks" have a place in your portfolio.
  14. Why It Pays To Be A Lazy Investor
    Retirement

    Why It Pays To Be A Lazy Investor

    Be a couch potato! This passive, but diversified, investing strategy could be for you.
  15. Socially Responsible Mutual Funds
    Mutual Funds & ETFs

    Socially Responsible Mutual Funds

    It is possible to avoid unethical investments and still profit from mutual funds. Find out how!
  16. Pick The Winners At The Mutual Fund Track!
    Mutual Funds & ETFs

    Pick The Winners At The Mutual Fund Track!

    For both mutual funds and racehorses, there's no surefire way to pick a winner.
  17. The ABCs Of Mutual Fund Classes
    Retirement

    The ABCs Of Mutual Fund Classes

    Do you understand how the various types of shares differ? We give you the pros and cons of each.
  18. I passed my Series 7 exam, but I terminated employment at ...
    Professionals

    I passed my Series 7 exam, but I terminated employment at ...

    Yes. Your exam is valid for a period of two years. Under normal circumstances, in order to have you become licensed or registered, your sponsoring firm would have filed Form U-4 (in addition to meeting ...
  19. When must the required three years of qualifying work experience ...
    Professionals

    When must the required three years of qualifying work experience ...

    According to the CFA Institute, the three years of qualifying work experience in a financial field can be completed before the first level exam is written, during the time a candidate is preparing for ...
  20. I have already obtained my Series 7; however, I am no longer ...
    Professionals

    I have already obtained my Series 7; however, I am no longer ...

    According to the Financial Industry Regulatory Authority or FINRA, (previously the National Association of Securities Dealers or NASD), if you are no longer an employee of a FINRA member firm, you must ...
  21. Do I need to have my Series 7 license for at least 36 months ...
    Professionals

    Do I need to have my Series 7 license for at least 36 months ...

    To write the Series 9/10 examination, you are required to have a Series 7 license. However, you do not have to hold the license for any certain period of time before you can write. The 36-month requirement ...
  22. Do I have to complete all exams within a certain period ...
    Professionals

    Do I have to complete all exams within a certain period ...

    According to the CFA Institute, a candidate can take as much time as necessary to complete all three levels of the CFA program.Therefore, if you passed the June 2004 CFA Level I examination, you could ...
  23. What personal items am I allowed to bring with me into the ...
    Professionals

    What personal items am I allowed to bring with me into the ...

    Aside from the required examination admission ticket and current government-issued photo ID; HB pencils, pens (blue or black ink only), and your HP-12C and or TI BAII calculator(s) (included case(s)) must ...
  24. My job with a member firm has recently been terminated and ...
    Professionals

    My job with a member firm has recently been terminated and ...

    The National Association of Securities Dealers (NASD) states that if you become employed with another member firm within two years, your licenses will not expire. However, there are a few important points ...
  25. Am I qualified once I complete my FINRA certification exam?
    Professionals

    Am I qualified once I complete my FINRA certification exam?

    Even if you have completed your Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers or the NASD) qualification exam--such as the Series 6, 7 or 63--you ...
  26. How do I become a CFA charterholder?
    Professionals

    How do I become a CFA charterholder?

    The CFA Institute requires individuals to satisfy a number of steps to become CFA charterholders.The most widely known requirement is that all three levels of the CFA program examinations must be successfully ...
  27. Can I bring food and drink into the CFA testing room?
    Professionals

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

    You are not permitted to bring in or consume any food or drink in the CFA testing room. The CFA Institute put this rule in place because many exam booklets were significantly damaged from spills in the ...
  28. How long will my Series 7 license last after my employment ...
    Professionals

    How long will my Series 7 license last after my employment ...

    According to the Financial Industry Regulatory Authority (formerly the National Association of Securities Dealers), you have two years from the termination date indicated on your most recent U-5 form. ...
  29. Where can I find a copy of an old Series 7 exam?
    Professionals

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

    The NASD does not provide old copies of exams, as the questions are drawn from a databank of questions that are continuously used on other Series 7 exams.
  30. I did not receive my Bachelor's degree in the United States. ...
    Professionals

    I did not receive my Bachelor's degree in the United States. ...

    CFA institute indicates that a Bachelor's degree is a level of study that would qualify an individual for a graduate program in the country where the undergraduate degree was obtained. For further information, ...
  31. If I do not have a U.S. Bachelor's Degree or equivalent, ...
    Professionals

    If I do not have a U.S. Bachelor's Degree or equivalent, ...

    CFA Institute indicates that a minimum of 4 years of qualifying work experience may allow an applicant without a Bachelor's degree to qualify. Details such as dates and places employed, as well as a description ...
  32. What is the Central Registration Depository?
    Professionals

    What is the Central Registration Depository?

    The Central Registration Depository (CRD®) is an automated database used by the NASD and the NASAA to store and maintain historical records on registered securities representatives and principals who are ...
  33. What is the difference between Series 9/10 and Series 24 ...
    Professionals

    What is the difference between Series 9/10 and Series 24 ...

    Both Series 9/10 and 24 are the exams that must be completed by a principal before he or she can supervise certain sales activities. According to the Financial Industry Regulatory Authority (previously ...
  34. What financial certifications or exams do I need to complete ...
    Professionals

    What financial certifications or exams do I need to complete ...

    In general, most states require the successful completion of the Series 65 exam or both the Series 7 and Series 66 exams. However, if a financial professional has not completed the above exams, some states ...
  35. If I already hold a professional certification am I eligible ...
    Professionals

    If I already hold a professional certification am I eligible ...

    No. To obtain a CFA designation, you must complete all levels of the CFA program regardless of whether you hold a professional certification or not. Additionally, you must complete at least four years ...
  36. I have not received my Series 7 exam certificate. Where ...
    Professionals

    I have not received my Series 7 exam certificate. Where ...

    The National Association of Securities Dealers (NASD) does not provide candidates with any physical certificate signifying the completion of the exam. If current or potential employers wish to view proof ...
  37. What happens if there are no places available for me to ...
    Professionals

    What happens if there are no places available for me to ...

    The NASD may extend your examination window to the next available appointment at your test center, if you contact your exam center at least ten business days prior to the close of your examination window.This ...
  38. What possible past activities will prevent me from becoming ...
    Professionals

    What possible past activities will prevent me from becoming ...

    There are several events that could either prevent a person from becoming a Registered Representative, or that will result in the loss of membership or registration. According to the NASD, you could be ...
  39. I am interested in pursing the CFA charter, but I do not ...
    Professionals

    I am interested in pursing the CFA charter, but I do not ...

    The Chartered Financial Analyst (CFA) program is by no means an introduction to the world of investment. CFA Institute (formerly AIMR) describes the CFA program as being supplementary to any finance-related ...
  40. What education is required from me to write the Series 7 ...
    Investing

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

    There are no prerequisite educational requirements for the Series 7 exam. However, keep in mind that you must be sponsored by your employer in order to write the exam. Should you not already be employed ...
  41. I failed the Series 7 exam. How long must I wait before ...
    Professionals

    I failed the Series 7 exam. How long must I wait before ...

    If you fail your first attempt at the Series 7 exam, your sponsor can submit an amendment to reopen a window in which you can write the exam again. This window will not open until 30 days since your last ...
  42. Do Focused Funds Provide a Better Outlook?
    Mutual Funds & ETFs

    Do Focused Funds Provide a Better Outlook?

    Should you diversify or focus? Read on to decide which will work best for you.
  43. Which States do not require a Representative to write the ...
    Professionals

    Which States do not require a Representative to write the ...

    The Financial Industry Regulatory Authority (FINRA), (formerly the National Association of Securities Dealers), indicates on their SRO/state fee schedule that the following state jurisdictions do not require ...
  44. Is there any difference between a holder of a Chartered ...
    Professionals

    Is there any difference between a holder of a Chartered ...

    Using the title "Certified Financial Analyst" to refer to the CFA® program offered by the CFA Institute is incorrect.CFA Institute holds the trademarks associated with the CFA® program. The acronym "CFA®" ...
  45. Is my Series 63 registration transferable to another state?
    Investing

    Is my Series 63 registration transferable to another state?

    If you are moving to another state, the NASAA indicates that your Series 63 can be transferred. Note that you must become registered with another member firm or self-regulatory organization within 2 years ...
  46. I am not currently employed at a member firm, but I have ...
    Professionals

    I am not currently employed at a member firm, but I have ...

    After you have successfully completed your exam, you have two years to become registered or licensed to prevent your completion status from becoming invalid. Once you do obtain employment, the hiring firm ...
  47. Do I have to reach a certain age before I can write an NASD ...
    Professionals

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

    The National Association of Securities Dealers (NASD) does not stipulate that individuals must be a minimum age to write the exam. Keep in mind that many exams administered by the NASD, such as the Series ...
  48. What type of work experience can count towards the work ...
    Professionals

    What type of work experience can count towards the work ...

    CFA Institute provides a list of job titles that qualify for the work experience an individual must gain to be awarded with the CFA charter; click here for the list. However, be warned that a job title ...
  49. How do I find a testing facility in my area?
    Professionals

    How do I find a testing facility in my area?

    Most internationally recognized certifications, such as the CFA®, have testing locations around the world. The following is a guideline for how to find listings of locations for each type of exam: CFA ...
  50. Which popular professional certification exams do not require ...
    Professionals

    Which popular professional certification exams do not require ...

    The Financial Industry Regulatory Authority (FINRA) administers several professional certification examinations that do not require sponsorship; these include the series 3, 30, 31, 32, 33, 63 and 65 exams. ...
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