FIN 4134 - Final Exam Questions with Correct Answers Latest Update

FIN 4134 - Final Exam Questions with Correct Answers Latest Update Who are the partners in the Financial Planning Coalition to represent the planning profession in legislative and other actions? - Answers CFP Board FPA NAPFA ChFC - Answers Chartered Financial Consultant Offered by The American College of Finacial Services CLU - Answers Chartered Life Underwriter Offered by The American College of Financial Services PFS (CPA, PFS) - Answers Personal Financial Specialist Offered by The American Institute of CPA's (AICPA) AIF - Answers Accredited Investment Fiduciary (AIF) Offered by Fi360 What are the four requirements to earn CFP marks? - Answers Education, exam, experience, ethics What are the continuing education requirements for a CFP professional? - Answers 30 hours every 2 years 2 hours must be related to ethics 28 remaining hours must be related to one of CFP Board's principal topics Finra Series 6 Exam - Answers For B-D's Solicit, purchase, and sell certain investment products such as open-end mutual funds, variable annuities and life insurance, UIT (mainly anything but stocks, bonds, and options) FINRA Series 7 Exam - Answers Intended for stock brokers Includes Series 6 plus information pertaining to stocks, bond, and options Can sell pretty much any investment product NASAA Series 63 - Answers Blue sky laws Qualifies individuals as securities agents or registered representatives (RR) State securities qualification NASAA Series 65 - Answers Advice for a fee Qualifies individuals as investment advisor representatives (IARs) Covers information to provide investment advice to clients No sponsorship required NASAA Series 66 exam - Answers Covers 63 and 65 exams Qualify as both RR and IAR