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 Series 63 exam?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 A person whose registration has been revoked by an Administrator due to a felony ...

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

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

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

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

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

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

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

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

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

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

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

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

  57. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  93. If an issuer wishes to register a security in the state ...

  94. Clark recently purchased shares in ABC mutual fund with some funds from the sale ...

  95. Which of the following would endure the most negative impact based on rising inflation ...

  96. A head and shoulders top formation chart: I. is a bearish chart II ...

  97. A margin account has a long market value of $12,000, a debit balance of -$6,000 ...

  98. A corporation, which does virtually all of its business in the state where it has ...

  99. Under the Uniform Securities Act, there are anti-fraud provisions that apply to securities ...

  100. You currently own a mutual fund with a Net Asset Value (NAV) of $11.25 ...

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