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Do buffalo have elbows? I just wanted to make sure I could check my watch during the test.

Organization and Paperwork

If you find paperwork behind filing cabinets and client checks in your clothes hamper, the securities industry is not for you. Fastidiousness is neccary. Registered firms that accept client monies and/or securities for investing and/or safekeeping must keep accurate records of all this stuff.

You better believe that the Uniform Securities Act includes a blurb on their love for recordkeeping. Here, see for yourself:


"Every registered broker-dealer and investment adviser shall make and keep such...

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