FAQs tagged as

Professionals

  1. Where can I look for a financial planner?

  2. If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

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

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

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

  6. Transactions are exempt from registration where …

  7. An IA’s client has a primary goal of tax reduction and a secondary goal of current income. Which investment would be most appropriate?

  8. How quickly should my financial advisor sell a stock that I have asked him or her to sell for me?

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

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

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

  12. The de Minimis clause for investment advisers means:

  13. Investment advisors must register with the SEC when their assets under management total what amount?

  14. Your client has a net short-term gain of $3,000 and a net long-term loss of $8,000. Which of the following statements are true?

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

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

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

  18. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  19. What is a rainmaker?

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

  21. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner (CFP)certification examination?

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

  23. Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

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

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

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

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

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

  29. What are some common and useful retirement planner designations? Are they expensive or difficult to obtain?

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

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

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

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

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

  35. What careers are popular among CFA charterholders?

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

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

  38. Since I do not have a certificate of completion, where can I get a copy of my exam score(s)?

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

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

  41. Is an earnings surprise priced into the opening value by market makers or does the buyer/seller response drive the price?

  42. Do I need to be sponsored or employed by a member firm in order to write the Series 66 exam?

  43. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

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

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

  46. When must the required three years of qualifying work experience be completed in order to become a CFA charterholder?

  47. How long will my Series 7 license last after my employment has been terminated at a member firm?

  48. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

  49. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

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

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

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

  53. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

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

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

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

  57. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

  58. If I do not have a U.S. Bachelor's Degree or equivalent, can I still qualify for registration in the CFA program?

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

  60. Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

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

  62. If I already hold a professional certification am I eligible for any exemptions from CFA Program requirements?

  63. If I have already completed the Series 6 examination, do I have to complete the entire Series 7, or can I take a modified version?

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

  65. How do I become a CFA charterholder?

  66. I am interested in pursing the CFA charter, but I do not have a degree in business and have not worked within the financial or investment environment. Do I still have a chance of successfully completing the course?

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

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

  69. What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

  70. Is there any difference between a holder of a Chartered Financial Analyst Designation and a Certified Financial Analyst?

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

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

  73. I'm a teacher. Which is better for me, a 401(k) or 403(b)? What is the difference? From whom do I get these plans?

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

  75. What type of work experience can count towards the work experience required in order to obtain the CFA charter?

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

  77. I am a teacher in a public school system and I don't presently have a 403(b) plan, but I do have some money in a Roth IRA and also a self-directed IRA. Can I roll my IRA funds into a newly opened 403(b) plan, since I am presently employed by the school sy

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

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

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

  81. What are the Gnomes of Zurich?

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