FAQs tagged as

Professionals

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  1. What are some of the limitations and drawbacks of economics as a field?

  2. Why would an investor opt for a partial redemption as opposed to a full redemption?

  3. What schools did Warren Buffett attend on his way to getting his science and economics ...

  4. What country spends the most on education?

  5. Who benefits the most from prepaid expenses?

  6. How do I apply to work in the securities industry?

  7. What's the average salary of a human resources (HR) specialist?

  8. What are the main communication points between a CFO and a CEO?

  9. What's the average salary of an investment banker?

  10. How do you protect yourself against sudden unemployment?

  11. What's the average salary of an actuary?

  12. How does lack of corporate social responsibility hurt a company's bottom line?

  13. What's the average salary of a tax manager?

  14. What's the average salary of a chief financial officer (CFO)?

  15. What are the reasons that cause investment bankers to fail in their careers?

  16. What is the first day of the first quarter?

  17. What's the average salary of a bank teller?

  18. What's the average salary of a business operations manager?

  19. What's the average salary of someone with a finance major?

  20. What's the average salary of a loan officer?

  21. What's the average salary of a compliance officer?

  22. What's the average salary of a financial advisor?

  23. What's the average salary of an audit clerk?

  24. What's the average salary of a market research analyst?

  25. What's the average salary of an operations research analyst?

  26. What's the average salary of a bill collector?

  27. What are the reasons that cause financial advisors to fail in their careers?

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

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

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

  31. Who is eligible for a Teacher Retirement?

  32. How long are credit ratings valid?

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

  34. What is the average salary for an accountant?

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

  36. Where do you get a real estate license?

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

  38. Do real estate agents need a degree?

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

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

  41. Where can I look for a financial planner?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  63. Below is an example of US Treasury yields for various maturities ...

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

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

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

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

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

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

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

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

  76. Unemployment resulting from changes in the basic composition of the economy ...

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

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

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

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

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

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

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

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

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

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

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

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

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

  90. 12b-1 fees in mutual funds, are known as “asset-based distribution charges,” ...

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

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

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

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

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

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

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

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

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

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

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