FAQs tagged as

FINRA Exams

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  1. Is a financial advisor required to have a degree?

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

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

  4. What does passing the Series 6 enable me to do?

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

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

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

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

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

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

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

  12. Where do I take the Series 63 examination?

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

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

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

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

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

  18. How is the Series 63 exam set up?

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

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

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

  22. How long is the Series 63 exam?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  79. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

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

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

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

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

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

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

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

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

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

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

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

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

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

  93. If a sales representative moves from one broker-dealer to another ...

  94. Which of the following are major differences between accumulation units and annuity ...

  95. Which of the following would be considered a short hedge ...

  96. By expanding its current broker-dealer business to include financial planning and ...

  97. Under the Uniform Securities Act, which of the following are defined as securities ...

  98. Federal covered securities are subject to which of the following requirements ...

  99. Your firm is a registered investment advisor that specializes in investment management ...

  100. Inter-Galaxy Investors Inc is a large broker-dealer headquartered in North Dakota ...

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