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i need to know the exams that would get me into the financial planning and advising or some what like an investment specialist with investment banks in North America
Certified Financial Planner (CFP)
But one number stood out in the Finra statement about its steps to increase investor protection. The SRO conducted nearly 800 branch exams this year - or roughly 350 more than it conducted in 2010 - as it honed in on the 'point-of-sale' in some cases, rather than broker-dealers' home offices. Here's the direct excerpt from Finra:
'FINRA exam staff also placed greater focus on branch-level activity – increased the number of branch exams, and refocused our exams at point-of-sale, spending more time on site at the branch offices and, depending on the firm, less time at the main office. There were approximately 350 more branch office exams conducted this year compared to 2010, bringing the total branch office exams to nearly 800.'
Why the increased emphasis on examining branch-level activity? Finra indicated that it re-jiggered its approach to exams so it could "be more risk-based and ensure exam teams are more focused on those areas critical to investor safety."
CFA Exam Equity Investments. The complete CFA exam videos are available at www.allenresources.com
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