Six Steps To Successfully Switching Financial Careers

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May 17, 2011 - In this issue... Add Investopedia to safe sender list
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Financial Career Financial Career
Six Steps To Successfully Switching Financial Careers
Financial Education

Financial Education
Alternatives To Business School

Exam Question Questions About Exams
What is the difference between Series 9/10 and Series 24 qualification exams?
FINRA Update FINRA Update
SEC Approves Consolidated FINRA Rules Governing Fidelity Bonds
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Financial Career  Financial Career --> more career articles

Six Steps To Successfully Switching Financial Careers

Breaking into the securities industry is incredibly difficult. Success takes years of study and work, followed by a few more years of "paying your dues". So, what happens if you finally reach the pinnacle, only to realize you've been climbing the wrong mountain?

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--> Related Reading: Career Shift: Get In The Driver's Seat, or Deal Effectively With Difficult Clients

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Financial Education  Financial Education --> more education articles

Alternatives To Business School

Obtaining an MBA is often assumed to be a career-enhancing option for young professionals to learn more about the different functions of an organization (such as marketing, strategy, operations, accounting, finance and management). For professionals who majored in the liberal arts or engineering, an MBA can enhance exposure to the multiple facets of business as well as provide career flexibility.

Read more »

--> Related Reading: Keeping Up With Your Continuing Education, Ace Your Business School Courses

FINRA Update  FINRA Update --> more updates

SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds

The FINRA rule on fidelity bonds will be updated to clarify the other rules found in NASD Rule 3020 and NYSE Rule 319 in an attempt to better reflect current industry practices.

Check out Investopedia's Series 26 exam guide for a brush up on the rules mentioned: Series 26 - Supervisory Systems

Effective Date: January 1, 2012

View Full Notice PDF 122 KB (11 pages, most are "end notes")

Exam Question  Exam Question

What is the difference between Series 9/10 and Series 24 qualification exams?

Both Series 9/10 and 24 are the exams that must be completed by a principal before he or she can supervise certain sales activities. According to the Financial Industry Regulatory Authority (previously the National Association of Securities Dealers), a principal who has completed the Series 24 examination is qualified to supervise the following sales activities:

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