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Some of my friends recommend clenching and unclenching my buttocks during the exam. Personally, I prefer not to receive advice about my hindquarters during times of stress.

Corporations and Individuals

Few "natural" persons, as the U.S. legalese and regulators define us human beings, appreciate being compared to a soulless entity that can't dance, skydive, tell a joke, or fall in love. But what in tarnation do corporate persons and natural persons have to do with the registration of broker-dealers, investment advisors, reps, and agents?

Plenty.

This section, which accounts for 24 of 60 questions on the exam (that's 40%, biz peeps), covers registration of corporations and individuals, as...

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