Review Topics
Practice Exams
Don't go to your exam hungry. I recommend grass and berries, but you might want your brain food to be a little more substantial.

Money Matters

If you're an IA or BD and you want to play ball in the state, you have to have the cash to back you up. The state Administrator sets a minimum net capital amount, which you need to have to register. The Administrator can waive that minimum, but you better pay him off handsomely.

And as you take the incomprehensibly life-complicating step of becoming a custodian for client assets or accepting upfront payments from clients, you'll have to bare your audited balance sheets to the...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

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