FAQs tagged as

Professionals

  1. Who is eligible for a Teacher Retirement?

  2. What's the difference between a financial advisor and a financial planner?

  3. What's the difference between a CFA and a CPA?

  4. What are the best ways to plan for retirement?

  5. What is the average salary for an accountant?

  6. How long are credit ratings valid?

  7. Who is eligible to take out federal student loans?

  8. What are some examples of how I could use my IRA savings for college?

  9. What are the top-paying jobs according to the Bureau of Labor Statistics?

  10. Where do you get a real estate license?

  11. Do real estate agents need a degree?

  12. What is a typical day in the life of a stockbroker, from start to finish?

  13. What are the requirements that a trust needs to meet to be qualified?

  14. Where can I look for a financial planner?

  15. If I am looking to get an Investment Banking job. What education do employers prefer? ...

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

  17. Under the USA, registration as an IAR includes all of the following EXCEPT:

  18. A sales representative is permitted to take all of the following actions EXCEPT:

  19. Transactions are exempt from registration where …

  20. An IA’s client has a primary goal of tax reduction and a secondary goal of current ...

  21. How quickly should my financial advisor sell a stock that I have asked him or her ...

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

  23. All of the following are allowable deductions used in determining taxable estate ...

  24. The de Minimis clause for investment advisers means:

  25. Investment advisors must register with the SEC when their assets under management ...

  26. What is the doctor advisory scam?

  27. Your client has a net short-term gain of $3,000 and a net long-term loss of $8,0 ...

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

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

  30. How long will my Series 7 license last after my employment has been terminated at ...

  31. If I have already completed the Series 6 examination, do I have to complete the entire ...

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

  33. What is a "dog and pony" show?

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

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

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

  37. Do I need to take the Series 6 examination after I have already successfully completed ...

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

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

  40. I am not a resident of the United States, but would like to be qualified as a registered ...

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

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

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

  44. How can I find an investment club in my area?

  45. What careers are popular among CFA charterholders?

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

  47. Do I need to be sponsored or employed by a member firm in order to write the Series ...

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

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

  50. I am a teacher in a public school system and I don't presently have a 403(b) plan, ...

  51. If my employment with my current firm terminates relatively soon, do I have two years ...

  52. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before ...

  53. When must the required three years of qualifying work experience be completed in ...

  54. I have already obtained my Series 7; however, I am no longer working for a member ...

  55. Do I need to have my Series 7 license for at least 36 months before I take the Series ...

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

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

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

  59. What is a rainmaker?

  60. How do I become a CFA charterholder?

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

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

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

  64. If I do not have a U.S. Bachelor's Degree or equivalent, can I still qualify for ...

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

  66. What is a typical day in the life of someone in M&A? How long does a project last? ...

  67. Is it important to check the professional history of my investment advisor?

  68. What are some common and useful retirement planner designations? Are they expensive ...

  69. What are the steps to get a company listed on the OTCBB?

  70. What financial certifications or exams do I need to complete in order to qualify ...

  71. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner ...

  72. If I already hold a professional certification am I eligible for any exemptions from ...

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

  74. If I pay for a course to learn about trading can I write some of it off?

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

  76. I am interested in pursing the CFA charter, but I do not have a degree in business ...

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

  78. Is an earnings surprise priced into the opening value by market makers or does the ...

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

  80. Is there any difference between a holder of a Chartered Financial Analyst Designation ...

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

  82. I am not currently employed at a member firm, but I have independently written the ...

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

  84. I'm a teacher. Which is better for me, a 401(k) or 403(b)? What is the difference? ...

  85. What type of work experience can count towards the work experience required in order ...

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

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

  88. What are the Gnomes of Zurich?

  89. What is the difference between a buy-side analyst and a sell-side analyst?

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

  91. Since I do not have a certificate of completion, where can I get a copy of my exam ...

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

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

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

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