FAQs tagged as


  1. Are hedge funds regulated by FINRA?

  2. How are variable annuities regulated?

  3. Do financial advisors need to pass the Series 7 exam?

  4. Do financial advisors need to be approved by FINRA?

  5. How does a broker decide which customers are eligible to open a margin account?

  6. What are some of the major regulatory agencies responsible for overseeing financial ...

  7. Why is the Nasdaq more heavily weighted to tech stocks than other stock exchanges?

  8. How are margin calls regulated by the SEC?

  9. If I have only a limited amount of time to study for the Series 6, what should I ...

  10. How does an underwriter syndicate work together on an initial public offering (IPO)?

  11. What role does the 'chip cycle' play in the electronics sector?

  12. For what reasons are electronics stocks commonly purchased by a value investor?

  13. How are junk bonds regulated?

  14. What are the differences between the Series 6 exam and the Series 7 exam?

  15. How is buying on margin regulated by the Securities and Exchange Commission (SEC)?

  16. How are asset management firms regulated?

  17. Do I need a class to take the Series 63 exam?

  18. I need special accommodations when taking the Series 63 exam. How are such arrangements ...

  19. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

  20. Which factors most influence fixed income securities?

  21. Where do I take the Series 63 examination?

  22. I decided not to take the Series 63 exam. Can I get a refund?

  23. What are my options if I fail my Series 63 exam?

  24. How much time can I expect to spend on studying for the Series 63 exam?

  25. How do I sign up for a Series 63 exam as a foreign national if I don’t have a Social ...

  26. What should I bring to the Series 63 exam?

  27. How is the Series 63 exam set up?

  28. My scores on the Series 63 average a passing grade, but the testing center said I ...

  29. How long is the Series 63 exam?

  30. Can you trade securities before you pass the Series 63 exam?

  31. How long is the validity period for a Series 63 exam if I have not been registered?

  32. What factors might make a private placement a risky investment?

  33. Are there any continuing education requirements for Series 63 exams?

  34. Where do I get a certificate or other evidence of passing the Series 63 exam?

  35. How can I report a problem that occurred on my Series 63 exam?

  36. What is the best way to study for the series 63 exam?

  37. I would like a refund for my Series 63 exam. What should I do?

  38. I gave an answer on the test from my study guide that was scored wrong on the Series ...

  39. Do I have to be a U.S. citizen to sit for the Series 63 exam?

  40. My 120-day Series 63 exam window is about to close, but I need more time to study. ...

  41. How long must I wait after failing the Series 63 exam before I can take it again?

  42. Do I need to pass the Series 63 if I am just taking orders for securities?

  43. Is there a limit on the number of times I can re-take the Series 63 exam?

  44. Are waivers granted to the 180-day waiting period to re-take the Series 63 exam?

  45. Which version of the Uniform Securities Act should I study to prepare for my Series ...

  46. If I failed the Series 66, does the waiting period apply if I want to take the Series ...

  47. Does NASAA or anyone else give out the series 63 exam questions?

  48. Are series 63 exams given outside of the United States?

  49. What does it mean when I get a maintenance margin call?

  50. How often, and how, is a series 63 exam updated?

  51. How many people fail the series 63 exam every year?

  52. What are the SEC regulations regarding stock splits?

  53. How do I train for a career in management information systems (MIS)?

  54. What is a "pink sheet" in the context of an OTC (over-the-counter) transaction?

  55. What are the SEC (Securities And Exchange Commission) rules about OTC (over-the-counter) ...

  56. Who are cambrists and how do I become one?

  57. How does FINRA differ from the SEC?

  58. Which statement(s) is/are FALSE about market risk?

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

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

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

  62. I want to start my own brokerage company, how do I become a member of FINRA?

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