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  1. 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. 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. Allocating your investments among different asset classes is a key strategy to help minimize risk and potentially increase gains.
    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. 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. Investing Basics

    Understanding The Time Value Of Money

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

    Should You Follow Your Fund Manager?

    Learn how to tell if a fund in flux is still a suitable investment.
  13. 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. Retirement

    Why It Pays To Be A Lazy Investor

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

    Socially Responsible Mutual Funds

    It is possible to avoid unethical investments and still profit from mutual funds. Find out how!
  16. 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. 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. Professionals

    How do I receive sponsorship from a member firm in order ...

    In most cases, you obtain sponsorship for the Series 7 exam through employment at a FINRA member firm or a self-regulatory organization (SRO). This is because completion of a professional exam such as ...
  19. Professionals

    What forms of ID are acceptable for admittance into the ...

    CFA Institute indicates that an original driver's license, passport, government work permit, as well as military, citizen's or national identification cards, or any other form of government-issued photo ...
  20. Professionals

    If I have passed the Series 7 exam, do I need to write the ...

    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities Dealers), if your Series 7 is still active, you can temporarily convert your license ...
  21. Professionals

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

    Unfortunately, the answer is "No." The Financial Industry Regulatory Authority or FINRA, (formerly the National Association of Securities Dealers (NASD)), requires an individual to be sponsored by a member ...
  22. Professionals

    I want to start my own brokerage company, how do I become ...

    Before you read on, note that the Financial Industry Regulatory Authority (FINRA), (previously the National Association of Securities Dealers (NASD), requires prospective members to strictly follow a lengthy ...
  23. Professionals

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

    The CFA Institute allows an individual an unlimited amount of attempts at each examination.Although you can attempt the examination as many times as needed, bear in mind that this will be expensive. Fees ...
  24. Professionals

    If I have already completed the Series 6 examination, do ...

    After having written the Series 6 examination, there would be significant overlap with the Series 7 in areas such as mutual funds, unit investment trusts, and municipal securities. The Financial Industry ...
  25. Professionals

    Do I have to successfully complete the Series 7 exam before ...

    There are no prerequisites to register for the Series 63 exam. However, once you have registered for the exam, you must schedule your exam within the 120-day window provided by the Financial Industry Regulatory ...
  26. Professionals

    I hold a professional degree. Am I eligible to sit for the ...

    According to the CFP board, if you hold one or more of the following, you are eligible to challenge the CFP(R) certification examination: Chartered Financial Consultant (ChFC) Chartered Life Underwriter ...
  27. Professionals

    What is the maximum amount of time that can elapse between ...

    According to the CFA Institute, a candidate can take as much time as necessary between examinations. Therefore, if you passed the June 2006 CFA Level I examination, you could take the CFA Level II examination ...
  28. Professionals

    Where are the testing centers for the Series 7 examination?

    Testing centers for the Series 7 and other FINRA (Financial Industry Regulatory Authority), administered exams are located throughout the United States and in Australia, Canada, China, France, Germany, ...
  29. Investing

    What is a subprime mortgage?

    A subprime mortgage is a type of loan granted to individuals with poor credit histories (often below 600), who, as a result of their deficient credit ratings, would not be able to qualify for conventional ...
  30. Professionals

    Do I need to be a U.S. citizen to sit for any NASD examinations? ...

    No. The National Association of Securities Dealers (NASD) does not require a candidate to be a U.S. citizen to sit for an exam. The NASD offers their exams at many test centers internationally. Click Here ...
  31. Professionals

    Is it required to order the CFA guides in order to prepare ...

    Many of the candidates preparing for their upcoming CFA exam are working full time and trying to balance an adequate amount of study time with personal matters. These challenges make it tempting to find ...
  32. Professionals

    Are there any continuing education requirements after I ...

    Yes. According to the Securities Industry/Regulatory Council on Continuing Education (CEC), there are two parts to the CE requirement: the regulatory element and the firm element. The firm element (determined ...
  33. Professionals

    I failed the Series 6 exam. How long must I wait before ...

    If you fail your first attempt at the Series 6 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 after your last ...
  34. Professionals

    I have a CFA designation. Do I qualify for any exemptions ...

    Unfortunately, a CFA charter does not qualify you for any FINRA exam exemptions.
  35. Professionals

    How can I find out if my employer is a member of FINRA?

    To find out if your employer is a member of the Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers (NASD)), perform a search for your firm's name ...
  36. Professionals

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

    Unfortunately, the answer to this question is "No." The Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers or NASD) requires an individual to be ...
  37. Professionals

    What careers are popular among CFA charterholders?

    CFA Institute indicates on its website that CFA charterholders represent all investment professional careers within all types of investment firms.According to CFA Institute, CFA member careers are broken ...
  38. Professionals

    Does FINRA make any allowances for people whose first language ...

    The Financial Industry Regulatory Authority (FINRA) indicates that if your first language is not English, you may request a time extension for your exam. In some cases, you may also be able to write a ...
  39. Professionals

    Since I do not have a certificate of completion, where can ...

    If you are not currently employed by a member firm you can get your exam scores by contacting FINRA in writing and requesting an "individual snapshot." If you are employed, you can contact your registration ...
  40. Professionals

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

    The CFA charter is a global charter. As such, valid work experience is not limited to the country it which you obtain your charter. Also, remember that the CFA Institute indicates that you need a U.S. ...
  41. Professionals

    Do I need to be a U.S. resident to take the Series 63 exam ...

    No. The Financial Industry Regulatory Authority or FINRA, (previously the National Association of Securities Dealers), does not require a person to be a United States citizen to write the Series 63 exam. ...
  42. Professionals

    Do I need to be sponsored or employed by a member firm in ...

    You do not need to be sponsored by a member firm in order to write the Series 66 exam. However, it is important to remember that successful completion of the Series 7 is required in order for an individual ...
  43. Professionals

    What activities can an Investment Company Products/Variable ...

    If you have successfully completed your Series 6 exam and are registered as an Investment Company Products/Variable Contracts Limited Representative, according to the Financial Industry Regulatory Authority ...
  44. Professionals

    If my employment with my current firm terminates relatively ...

    Yes. When your employment ends with the current firm, your registration with the Financial Industry Regulatory Authority or FINRA, (previously the National Association of Securities Dealers (NASD)), will ...
  45. 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 ...
  46. 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 ...
  47. 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 ...
  48. 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 ...
  49. 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 ...
  50. 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 ...
  • Showing 1-50 of 77 items
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