Retirement

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  1. As a temporary resident of the US, can I withdraw funds from my Traditional IRA without penalty when I leave the country?

    Should you decide to invest in a Traditional IRA and receive a tax deduction for your contribution, the amounts that you ...
  2. I understand that I can withdraw from a 401k the year I turn 55 without the 10% penalty (IRS 575). Can I do the same thing with an IRA without the 10% penalty?

    You are referring to the rule that states that distributions from your qualified plan (including 401k, profit sharing, money ...
  3. I plan to retire in March 2005 at the age of 59.75. When and what percentage or dollar amount can I start withdrawing from my SIMPLE IRA account?

    Congratulations on retiring at the young age of 59! You may withdraw assets from your SIMPLE IRA at any time, and there is ...
  4. Are there tax penalties for closing my Roth IRA account?

    You can close your Roth IRA account without negative consequences if your total account balance is less than the accumulated ...
  5. My company has three partners but plans to hire more this year. Would we be better off with an SBO-401(k) or a SIMPLE IRA?

    It depends.The SBO-401(k) plan is suitable if the plan covers only the business owners - in this case, the partners in the ...
  6. I withdrew funds from my Roth IRA to contribute elsewhere. How will I be taxed?

    If you close the Roth IRA now and withdraw the balance, you will be taxed on the earnings unless the distribution is qualified. ...
  7. I have just been laid off. Can I use my 401(k) for living expenses now and report it as income next year?

    Any amounts withdrawn from your 401(k) plan must be treated as ordinary income for the year the amount is distributed from ...
  8. Where can I find information on multiple annual additions for someone employed by more than one unaffiliated company?

    That information can be found in Internal Revenue Code Section 402(g). Also see IRS Publication 571.If an individual participates ...
  9. What possible past activities will prevent me from becoming a Registered Representative?

    There are several events that could either prevent a person from becoming a Registered Representative, or that will result ...
  10. Which States do not require a Representative to write the Series 63 exam?

    FINRA indicates on their SRO/state fee schedule the states that do not require a licensed the Series 63 exam.
  11. If I already hold a professional certification am I eligible for any exemptions from CFA Program requirements?

    No. To obtain a CFA designation, you must complete all levels of the CFA program regardless of whether you hold a professional ...
  12. I have not received my Series 7 exam certificate. Where can I obtain it?

    The National Association of Securities Dealers (NASD) does not provide candidates with any physical certificate signifying ...
  13. I want to roll over a portion of my retirement plan with my employer and I have been advised to ask for separate checks to account for pre- and after-tax amounts. What does this mean?

    This is based on the rules that an individual can roll over a portion of his or her retirement plan balance, rather than ...
  14. Are there any continuing education requirements after I pass the Series 7 examination?

    Yes. According to the Securities Industry/Regulatory Council on Continuing Education (CEC), there are two parts to the CE ...
  15. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

    No. The Financial Industry Regulatory Authority or FINRA, (previously the National Association of Securities Dealers), does ...
  16. What is the difference between Series 9/10 and Series 24 qualification exams?

    Both Series 9/10 and 24 are the exams that must be completed by a principal before he or she can supervise certain sales ...
  17. 10 Retirement-Wrecking Moves

    Don't let these common mistakes put a crack your nest egg.
  18. Series 7

    FINRA Series 7 Exam Guide
  19. Series 66

    FINRA/NASAA Series 66 Exam Guide
  20. Series 26

    FINRA/NASAA Series 26 Exam Guide
  21. Series 65

    FINRA/NASAA Series 65 Exam Guide
  22. Series 6

    FINRA Series 6 Exam Guide
  23. Series 63

    FINRA/NASAA Series 63 Exam Guide
  24. Gross Spread

    The difference between the underwriting price received by the issuing company and the actual price offered to the investing ...
  25. Guaranteed Investment Contract - GIC

    Insurance contracts that guarantee the owner principal repayment and a fixed or floating interest rate for a predetermined ...
  26. Double Dipping

    For brokerage firms, when a broker puts commissioned products into a fee-based account. The broker makes money from both ...
  27. Series 30

    A securities license entitling the holder to become a futures branch office manager.
  28. North American Securities Administrators Association - NASAA

    A voluntary organization, established in 1919, of securities regulators whose aim is to protect investors who buy securities ...
  29. Rules Of Fair Practice

    A set of rules and regulations developed by the National Association Of Securitie Dealers (NASD) or what is now called the ...
  30. Registered Options Principal - ROP

    An employee at a brokerage firm that is responsible for supervising options' exposure and the trading activities on options ...
  31. Taping Rule

    A rule created by the National Association of Securities Dealers (NASD) that requires that special supervisory procedures ...
  32. Named Perils Insurance Policy

    A home insurance policy that only provides coverage on losses incurred to your property from hazards or events named on the ...
  33. Head Trader

    The manager of a trading business. He or she is responsible for the positions, risk and ultimate profitability of that business. ...
  34. Accredited Personal Financial Planning Specialist

    A professional designation for Certified Public Accountants who have completed the required coursework and passed an examination ...
  35. Authorized Investment

    Dictated by state laws or by trust instruments designed to restrict the kinds and amounts of investments allowed within a ...
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