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 failed the Series 6 exam. How long must I wait before ...
    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 ...
  19. I have a CFA designation. Do I qualify for any exemptions ...
    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. How can I find out if my employer is a member of FINRA?
    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 ...
  21. Is it possible to take the Series 6 exam without being sponsored?
    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 ...
  22. What careers are popular among CFA charterholders?
    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 ...
  23. Does FINRA make any allowances for people whose first language ...
    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 ...
  24. Since I do not have a certificate of completion, where can ...
    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 ...
  25. Can I obtain my CFA charter without U.S. work experience?
    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. ...
  26. Do I need to be a U.S. resident to take the Series 63 exam ...
    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. Do I need to be sponsored or employed by a member firm in ...
    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 ...
  28. What activities can an Investment Company Products/Variable ...
    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 ...
  29. If my employment with my current firm terminates relatively ...
    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 ...
  30. 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 ...
  31. 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 ...
  32. 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 ...
  33. 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 ...
  34. 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 ...
  35. 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 ...
  36. 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 ...
  37. 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 ...
  38. 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 ...
  39. 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 ...
  40. 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. ...
  41. 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.
  42. 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, ...
  43. 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 ...
  44. 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 ...
  45. 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 ...
  46. 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 ...
  47. 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 ...
  48. 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 ...
  49. 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 ...
  50. 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 ...
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