FAQs tagged as

FINRA Exams

  • Showing 1-100 of 224 items
  • 1
  • 2
  • 3
  • >>
  1. What are the differences between the Series 6 exam and the Series 7 exam?

  2. Do I have to successfully complete the Series 7 exam before I can register for the ...

  3. I completed the Series 6, do I have to complete the entire Series 7?

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

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

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

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

  8. Where do I take the Series 63 examination?

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

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

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

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

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

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

  15. How is the Series 63 exam set up?

  16. How long is the Series 63 exam?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  37. Which of the following terms are associated with the purchase/redemption of open-end ...

  38. A registered representative has been following PDQ stock in the market over the past ...

  39. A man opened a Uniform Transfers to Minors Account for his grandson several years ...

  40. Which of the following would be considered “sales literature” under the NASD’s definition ...

  41. When an investor reads that a mutual fund charges 12(b)-1 fees ...

  42. Mike is a highly compensated employee of XYZ Company, his company has offered him ...

  43. At year-end 2004, the Federal Reserve reported moderate economic growth of 3% ...

  44. Laura bought 200 shares of GE at $80 on a 70% margin and received a margin call ...

  45. A market maker in the stock ABCD has filled a portfolio over time with prices as ...

  46. A sales representative solicits and executes a mutual fund trade ...

  47. Which of the following qualifies as an Investment Advisor Representative ...

  48. Under the Investment Company Act of 1940, which of the following is not a formal ...

  49. ABC Broker-dealer has no office in state and transacts fewer than five trades during ...

  50. All of the following are unethical behaviors prohibited under the Uniform Securities ...

  51. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

  52. The Shur-Gro variable annuity uses an AIR of 3% for those contract holders who are ...

  53. Sometimes investment banking firms allocate shares of hot issues to the personal ...

  54. Donald has been putting aside money for his retirement into a Roth IRA for six years.  Although ...

  55. According to SEC Release IA-1092, which of the following would NOT qualify as an ...

  56. Your client, Todd, owns 100 shares HAT stock in his taxable stock portfolio ...

  57. An individual has started investments of $100/month into a spread-load ...

  58. Based on the Employment Retirement Income Security Act (ERISA), a retirement plan ...

  59. The Chairman of Bright Star Life and Casual had a meeting with his broker this afternoon ...

  60. Which statements about common shareholder rights are FALSE? I. A shareholder may ...

  61. If ABC Company had the following Income Statement figures, what is the Operating ...

  62. A customer sells a 6% corporate bond on Tuesday October 4th for regular settlement ...

  63. The Administrator issue may issue a stop order for a federal covered security under ...

  64. The popular trading system "Instinet" is situated in which of the following markets ...

  65. When a floor broker asks a specialist, “How’s PDQ?” ...

  66. A person purchases stock XYZ (an Over The Counter stock) from a company who is also ...

  67. An individual made a lump-sum deposit into a variable annuity of $25,000 ...

  68. A church that a registered representative (RR) attends plans to raise the funds necessary ...

  69. The broadest measure of the activity and movement of the overall stock market can ...

  70. In which of the following ways can investor qualify for a breakpoint ...

  71. Peterson Jewels plans to offer $200,000 in securities to finance its expansion to ...

  72. Ben is employed by the underwriter of the PCO mutual fund ...

  73. Under the Uniform Securities Act, all of the following are prohibited EXCEPT ...

  74. Which of the following statements regarding Real Estate Limited Partnerships (RELPs) ...

  75. An investor opened a ten-year, $100/month front-end load periodic payment plan 14 ...

  76. An investor owns 100 shares of LKI at $58. He needs to limit his loss to 5 points ...

  77. Under the Uniform Securities Act, the registration of an investment adviser results ...

  78. Justin and Britney, multi-millionaires, want to make the maximum gift of cash to ...

  79. Just prior to the close of the markets on the final trading day before expiration ...

  80. When evaluating an individual's current financial status, liquid net worth would ...

  81. Your neighbor asks you about Municipal Bonds, you would be correct in telling him ...

  82. Under the Uniform Securities Act, the statute of limitations for criminal suits is ...

  83. A person whose registration has been revoked by an Administrator due to a felony ...

  84. Which of the following, under the NASD Conduct Rules, would constitute a complaint ...

  85. An order for corporate bonds marked "4M95." In total this order would be worth ...

  86. When a broker-dealer has decided to provide its registered representatives with reprints ...

  87. Sheila is a registered representative with YTR Investments. One of her clients ...

  88. Dave, a conservative investor, comes to you for advice on a diversified fixed-income ...

  89. Under the Uniform Securities Act, a broker-dealer is generally required to obtain ...

  90. Jason Sanborn is a senior-level executive with Beanster Brew, one of the world's ...

  91. Use the following information about a customer’s margin account to answer the question ...

  92. A customer has a short margin account. The account has equity of $15,000 ...

  93. Mrs Jaxsonheim is considered one of StrateShooter National Bank's best and most financially ...

  94. Mandy Edwards owns 100 shares in the PruRock Value Fund. She could use a little extra ...

  95. Under the Uniform Securities Act, the Administration is empowered to perform which ...

  96. Under the Uniform Securities Act, a registrant who holds custody of client funds ...

  97. Margin accounts are established to allow investors the ability to use leverage with ...

  98. The Standard and Poor’s 100 index closed on August 20 at 536.04 ...

  99. In a Corporation's financials, surplus earnings are accounted for as ...

  100. If the government was considering a change in the federal policy on taxation of municipal ...

  • Showing 1-100 of 224 items
  • 1
  • 2
  • 3
  • >>
Trading Center