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Aug 1, 2005 7:31 pm
Has anyone taken the Series 9 & 10?
My assistant is studying for it now. It appears to be the same stuff we had to take for the Series 8 with more questions.
Be sure you:
Understand options and the math behind them
Understand margin accounts
Know what came from Securities act of '33, Securities Exchange act of '34 & Investment Company act of '40.
Allowable communication & public information
and much more...
I have to confess to having taken the Series 8 many years ago. Anyone who can give more insight on the new registration feel free to add and contradict me if necessary.