FAQs tagged as

Continuing Education

  1. If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

  2. Can I still pass the CFA Level I if I do poorly in the ethics section?

  3. What certification series does one need to be a bond broker?

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

  5. What careers are popular among CFA charterholders?

  6. What is the difference between Series 9/10 and Series 24 qualification exams?

  7. Since I do not have a certificate of completion, where can I get a copy of my exam score(s)?

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

  9. What happens if there are no places available for me to sit for my exam within my window?

  10. What are some common and useful retirement planner designations? Are they expensive or difficult to obtain?

  11. Do I need to be sponsored or employed by a member firm in order to write the Series 66 exam?

  12. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  13. I failed the Series 7 exam. How long must I wait before I can take it again?

  14. How many attempts at the Series 7 exam are permitted?

  15. When must the required three years of qualifying work experience be completed in order to become a CFA charterholder?

  16. How long will my Series 7 license last after my employment has been terminated at a member firm?

  17. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

  18. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

  19. What personal items am I allowed to bring with me into the CFA exam testing room?

  20. I have not received my Series 7 exam certificate. Where can I obtain it?

  21. Which popular professional certification exams do not require sponsorship?

  22. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

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

  24. How do I find a testing facility in my area?

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

  26. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

  27. If I do not have a U.S. Bachelor's Degree or equivalent, can I still qualify for registration in the CFA program?

  28. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

  29. Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

  30. Do I have to complete all exams within a certain period of time to receive the CFA charter?

  31. If I already hold a professional certification am I eligible for any exemptions from CFA Program requirements?

  32. If I have already completed the Series 6 examination, do I have to complete the entire Series 7, or can I take a modified version?

  33. How can I withdraw from my CFA Level 1 exam?

  34. How do I become a CFA charterholder?

  35. I am interested in pursing the CFA charter, but I do not have a degree in business and have not worked within the financial or investment environment. Do I still have a chance of successfully completing the course?

  36. Where are the testing centers for the Series 7 examination?

  37. How do I register for the CFA program for the first time?

  38. What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

  39. Is there any difference between a holder of a Chartered Financial Analyst Designation and a Certified Financial Analyst?

  40. Are there any continuing education requirements after I pass the Series 7 examination?

  41. Which States do not require a Representative to write the Series 63 exam?

  42. What type of work experience can count towards the work experience required in order to obtain the CFA charter?

  43. Does FINRA make any allowances for people whose first language is not English?

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

  45. What forms of ID are acceptable for admittance into the CFA examination room?

  46. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

  47. How do I receive sponsorship from a member firm in order to write a Series 7 exam?

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

  49. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  50. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner (CFP)certification examination?

  51. What is the maximum amount of time that can elapse between CFA examinations?

  52. Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

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

  54. Is it required to order the CFA guides in order to prepare for the CFA?

  55. Am I qualified once I complete my FINRA certification exam?

  56. I failed the Series 6 exam. How long must I wait before I can re-take it?

  57. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

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

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