7 Types Of People Who Fail In Finance

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Financial Career Financial Career
7 Types Of People Who Fail In Finance
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Which statement about the New York Stock Exchange is FALSE?
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7 Types Of People Who Fail In Finance

To earn a career (or even a job offer) in finance, you needed to have sufficiently impressed your interviewers. The finance setting in the real world is competitive. Occasionally, HR will let in finance professionals with uber personalities. They have spark, personality and commendable accomplishments. Unfortunately, as their peer group begins to work with them, these peers come to a realization that there are certain dysfunctional behaviors that serve as roadblocks, here are seven.

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Passing any of the CFA Institute's exams, a requirement to become a Chartered Financial Analyst (CFA), is a very difficult and stressful process. A CFA exam is not only a test of one's intellect, but also of endurance, diligence, creativity and will. It is designed in such a way as to demonstrate one's commitment to becoming a CFA charterholder.

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SEC Approves Consolidated FINRA Rules Governing Books and Records

The SEC approved FINRA's proposal to adopt rules governing books and records. The new rules are modeled after old NASD and NYSE rules and will make it easier for FINRA and SEC to investigate compliance with the law.

Some Topics Covered:
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Effective Date: December 5, 2011

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Exam Question  Exam Question

Which statement about the New York Stock Exchange is FALSE?

A. It is a self-regulating organization.

B. Employees of members cannot open accounts at competing broker-dealers.

C. It permits coded accounts.

D. It requires written authorization from a customer before an employee of a member can exercise discretionary power over an account.

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