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QUESTION: If you pay someone a referral fee do they have to be registered? Can they be a client and also get paid a referral fee? I know this all [...]
March 15, 2012
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A Series 7 candidate just emailed me a question with which many test-takers could probably use a little help. The question comes from another [...]
March 14, 2012
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Here is a question very similar to what many of you will see on the Series 65 or Series 66: What type of trust requires the trustee to distribute [...]
March 10, 2012
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When you’re taking a difficult and confusing exam such as the Series 65 or Series 66, test-taking strategy is key. Most people try to read [...]
March 9, 2012
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Sales charges and operating expenses are two different things. Sales charges are an extra fee added to the price of mutual fund shares when the [...]
March 7, 2012
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There is a subtle but important difference between an exclusion and an exemption. When the exam talks about investment advisers who are [...]
March 5, 2012
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The issue of “custody” for investment advisers is one of the most challenging of all the big “testable” topics on the [...]
March 4, 2012
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Jimmy Jones is a go-getting business owner who recently sold “units of participation” in his plastic injection molding company, [...]
February 29, 2012
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Let’s look at a tough practice question early on a Sunday morning: Which of the following are examples of tax-free withdrawals from a [...]
February 26, 2012
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There is a subtle difference between the following two questions: Is the firm an investment adviser? Does the investment adviser have to [...]
February 24, 2012
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