Sorry for writing a book, but I’m really getting worried and need some tips.
Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. I would go ahead an buy it if I were you. When I took them, I would go over my problem areas by taking a 50 question set in the topic area.
I aced the suitability/recommendation part but did terribly on the rest. By Steven M. Rice . Thanks for starting this thread!Jhud, there are a couple of reasons… There is much less material to study and the exam is no where as long as the 7. The 7 is about a 5-6 hour test, which is what had me struggling to pass it.Also, there aren’t a lot of ways to change up 66 questions like they could on the 7 by changing different variables. I'm confident that I would not have passed if I had not used it. Mastery Exam
(Series 66) Exam Specifications and Outline (Effective 1/1/2010) ... NASD Series 7 Cheat Sheet - Monica Haven - 01. 14. [/quote]As far as the Kaplan cheet sheet, I would love to see it!
Glad that they did…I would highly recommend you purchase the software on your own if feasible.It’s broken down in a way that’s easily understandable.Pass Perfect is the best for the 66. Start studying Series 66 Quick Sheet.
Which is easier is very subjective. I took all the individual chapters test then took the practice exams avg. Section 529 plans may be used only for _________.Any level of education, post-secondary education (college)ESA puts an __________ on contributors while Section 529s _______What are not available as investment options in Section 529 plans?Rollovers to an IRA must be completed within how many days of distribution to avoid unfavorable tax consequences?What are the permitted investment vehicles for a 403(b) plan, what are not?Permitted vehicles are, mutual funds, stocks, bonds and CDs.
Honestly, there was not much I didn’t know when taking this test. Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create a personal Series 66 cheat sheet and bookmarks for future reference. Uploaded by. I have the online lectures, practice exams, and book for sale.
Anyhow, I passed the Series 66 recently. Close.
Makes me sick.
Taking the Series 7 exam, whether for the first time or the fourteenth, is a huge challenge and requires many hours of preparation. Glad to know I have the right material! looking for $140 obo.Make_it_rain reminds me… TC apparently checks with finra to see if you’ve passed the exam.
I felt like TC best prepared me for what the test was asking.
Series 66 7th Edition. [quote=mstudy]Pass Perfect is the best for the 66. I recommend their program to all of my students. It is not a sale untilIf a B/D (or anyone else) gives a security as a bonus with a purchase of anything (other than stock, a car, or house) that bonus is consideredHow may days does an issuer have to appeal a stop order to the appropriate courts?May the Administrator issue a cease and desist order with or without prior noticewithout prior notice, an action taken by the Administrator, is legal so long as within 15 days of receipt a written request for a hearing is grantedWith AUM of $110 million or more an IA would be registered...With AUM of $100 million of less an IA would be registeredAn IA registered in 15 states with AUM of less than $100 million would qualify forFederal registration with the SEC, even though is does not meet the AUM requirement of $110 million$20 million, as long as assets remain above $90 million and recover above $110 million within 12 months an adviser is allowed to remain federally coveredIf any advisers clients are investment companies the IA mustWhat 4 professional types are excluded from the definition of an IA as long as the advice is incidental to the practice of their profession.An IA exercising discretion needs how much in net worth of surety bonds under USA?An IA maintaining custody of customer funds/securities needs _____ net worth or surety bond under USA?If a state-covered IA meets the bonding and record keeping requirements of it's home state, is that sufficient for any other state in which the IA is registered or must the IA abide by each states guidelines?If the IA meets its home state requirements, that is sufficient to do business in other states, in which the IA is registered withIs it permissible for a state to have rules and guidelines more stringent than that of the federal government (SEC)?No, state shall enforce rules an guidelines greater than that of the SEC's mandatePerformances based compensation is permissible for an IA only if the client isan Investment Company or a qualified investor meeting certain minimum net worth requirements or having a certain amount of AUM with the adviserthe IA represents both sides and receives commissions from both sides, the IA must disclose the nature of the relationshipIt is unethical for an IA to direct clients to trade in securities in which the adviser has an undisclosed interest, why?A client purchasing those securities could cause the value of the securities to increase, thereby increasing the advisers positionIs a blanket recommendation of the same security to all clients isa prohibited practice, a particular security may not be suitable for all clients, based on their profile and their goalsUnder state and federal law, a person is deemed to be in control of an IA with an ownership level of at leastIf an I has custody of funds, statements must be sent to clientsIf the IA's brochure (ADV Part 2A and Part 2B) is not delivered at least 48 hours prior to entering into the contract the client hasBoth state and federally covered IA's must deliver the brochure no later than _________. Hope this is helpful!This is helpful.
scribdguru9. Don Don. Also, I would say the 66 is much easier than the 7, as long as you put in the same amount of studying.