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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 firm, a self-regulatory organization (SRO), or an exchange in order to write the Series 7 exam.

Find out what you can do to help someone who is finanically out of control.

Find out how to protect your personal information from phishers, scammers and thieves.

Don't hesitate to adopt a smart plan for you and your employees.

Generally, a leased employee is the employee of an outside organization from which you lease the employee's services. For instance, you may use the services of a payroll clerk who is really employed by another organization; the other organization (the leasing organization) leases the services of its ...

Stay calm, play dead and keep your eyes open for attractive valuations.

These purchase options let you hedge against a decline in your home's value without having to sell the house.

All Canadians should know the benefits of these flexible education savings plans.

It depends.The SBO-401(k) plan is suitable if the plan covers only the business owners - in this case, the partners in the partnership. If the other employees who are not owners of the business meet the eligibility requirements, a savings incentive match plan for employees of small employers (SIMPLE), ...

These seven tips can have you on the road to financial internship bliss.

Surprisingly, opening a Swiss bank account is not that much different from opening a standard bank account because you have to fill out forms and provide documentation that proves who you are and what you do. However, due to some special circumstance regarding privacy, the level of scrutiny over providing ...

Will charging fees instead of commission increase your client base?

Very simply, a trailing commission is money you pay an advisor each year that you own an investment. The purpose of the fee is to provide incentive for the advisor to review their customer's holdings and to provide advice. But when it comes down to it, it is essentially a reward for keeping you loyal ...

If your goals include a big paycheck and working for a Wall Street firm, then you need to learn how to meet employers' expectations.

With almost $2 trillion in sales yearly, find out how these mergers and acquisitions take place.

The 'FIG' at an investment bank usually refers to the financial institutions group - a group of professionals that provides investment banking and merger and acquisition expertise to financial institutions. In order to provide more tailored services, some investment banks further segment their areas ...

When you make a mortgage payment, the amount paid is a combination of an interest charge and principal repayment. Over the life of the mortgage, the portions of interest to principal will change.At first, your payment will be primarily interest, with a small amount of principal included.

Will the plan assets you've worked hard for be safe if you experience a personal financial crisis?

Don't let bad estate planning lead to unnecessary costs and stress for your inheritors.

Generally, you are required to include the gain from the sale of your home in your taxable income. However, if the gain is from your primary home, you may exclude up to $250,000 ($500,000 for married couples filing jointly) gain from income, if you meet certain requirements.

An underage person cannot open a brokerage account on his or her own. However, it is possible for an underage person to have a brokerage account with his or her own name attached to it, but in order for this to happen, a parent or guardian must also be involved with the account.There are a few different ...

The only way to get out of debt is to roll up your sleeves and start paying it off - one dollar at a time.

Find out how different types of coverages can protect you and which policy is right for you.

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 other requirements such as bonding, fee payment, and a background check).However, since your employment ...

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 of job duties, must be given in full on the Registration & Enrollment Form.

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 into a Series 6 without writing the Series 6 examination.

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 Authority (formerly known as the National Association of Securities Dealers or NASD).

These loans provide fast cash, but they could leave you deeper in debt - and without a car.

Find out how to protect yourself and your loved ones from financial fraudsters.

If your business has hit a wall, we've got the answer to break through and increase sales and earnings.

The SBO-401(k) can only be adopted by businesses in which only the business's owners are eligible participants in the plan. The ideal candidate for the SBO-401(k) is an employer who has employees, they do not satisfy both criteria for being included in the plan.

These contracts can be an effective way for homeowners to hedge against declining house prices.

Before jumping into a policy, check out these tips on how to score the best plan for you.

Yes. The same rules that apply to investing Traditional and Roth IRA assets applies to SEP IRA assets. Therefore, providing the limited partnership investment is permitted under the Internal Revenue Code, and it can be held in the SEP IRA. Of course, the investment would have to be done with a custodian ...

The Federal Deposit Insurance Corporation (FDIC) is an independent agency of the U.S. government that protects you against loss of deposit if your bank is FDIC insured. Banks are not mandated to be FDIC insured, but being insured has become a point of competition among banking institutions.

First off, understand that there is no universal system regarding trading commissions charged by brokerage firms. Some charge rather steep fees for each trade, while others charge very little, depending on the level of service they provide. A discount brokerage firm might charge as little as $10 for ...

"Do as I say and not as I do" doesn't make for a great professional reputation.

One of the most talked about documents that arises in the process of introducing a new issue is the greensheet. This is an internal marketing document prepared by the underwriter and intended for distribution to brokers and institutional sales desks of the underwriting firm (or underwriting collective).

The term "greenwashing" was added to the Oxford English dictionary in 1999, where it is defined as "disinformation disseminated by an organization so as to present an environmentally responsible public image." The word, a combination of green and whitewashing, was coined by suburban New York environmentalist ...

Both collateralized mortgage obligations (CMOs) and collateralized bond obligations (CBOs) are similar in that investors receive payments from a pool of underlying assets. The difference between these securities lies in the type of assets that provide cash flow to investors.

Top tips to help when selling your home in a down real estate market.

There are some investing costs that can be written off each year, even if you aren't a day trader. The general rule in determining whether an investment expense is deductible is that the expense needs to be ordinary and necessary to produce or collect income, or in the management of property used to ...

Whether married, single or somewhere in between, you'll face unique financial challenges.

Calculate how much your property will need to appreciate to cover the costs of owning it.

Don't sacrifice your life for your savings - get out there and have fun!

Proper planning will help ensure that your wishes are honored and your heirs are well cared for.

Find out how these additional benefits can help you customize your policy.