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Wear layers in case it gets chilly (or toasty) in the testing center. I only get to take off my coat once a year.

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?


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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