Shauna Carther

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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. 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

    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 ...
  19. 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.
  20. 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 ...
  21. 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 ...
  22. 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 ...
  23. 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. 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 ...
  25. 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 ...
  26. 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. ...
  27. 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 ...
  28. 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 ...
  29. 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 ...
  30. 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 ...
  31. 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 ...
  32. 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 ...
  33. 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®" ...
  34. 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 ...
  35. 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 ...
  36. 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. ...
  37. 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 ...
  38. 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 ...
  39. 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. ...
  40. 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 ...
  41. 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 ...
  42. 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 ...
  43. 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 ...
  44. 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 ...
  45. 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 ...
  46. 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 ...
  47. 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 ...
  48. 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: ...
  49. 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 ...
  50. 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, ...
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