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Man, those test proctors really come down hard on talking. I got kicked out for bellowing quietly in the corner and chewing on a test booklet.

Corporations Are People, Too

Wanna raise some Cain? Say that in public. Few “natural” persons, as the USA 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 advisers, reps and agents? Plenty, it turns out. This section, which accounts for 24 of 60 questions on the exam (that’s 40% - so go get that 5...

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