Hi all, I have my test today and just realized that the AUM & net worth requirements to be considered a qualified client increase from $1.1 & $2.2 million to $1.4 & $2.7 million effective yesterday. If I see a question regarding this on the exam, which would be correct?
Hi all, I just tried Achievable's free practise exam and I'm very confused about the correct answer for the following:
"A broker-dealer is registered in State A, where the firm primarily performs its business. A retail investor that resides in State C contacts the broker-dealer by phone while temporarily visiting State B. The investor requests a securities transaction be performed on the phone call. The broker-dealer has not performed transactions on behalf of the investor previously and does not maintain an office in States B or C. Which state must the BD be registered in?"
I answered state C, however, the correct answer according to Achievable was state B. When I ask AI and read through my notes, they both confirm the correct answer should be C. Am I missing something here? Thanks for your help!
Long story short, my (25M) ex (25F) broke up with me ~1.5 years ago while temporarily long distance in a pretty harsh manner. I thought she was "the one" and treated her really well, so it was a pretty traumatic experience for me when we broke up and I had to go to therapy. She's had some of my belongings since then, including a few items with real sentimental value to me (which she knows), and despite repeated requests, has never returned them. Each time I've asked she's said she already sent them but then later admits she hasn't and at one point she even hounded me for my new address to mail them, then never sent anything.
About 5 months ago I was in her city to visit friends and offered to pick my stuff up. We hadn't interacted in 8 months at that point but she agreed, and was noticeably warmer than usual, even asking if we could catch up which really surprised me. I said sure, but none of the times I suggested worked for her and so I let then exchange fizzle, telling her to lmk if anything changes. Up until this point I was in a good place mentally but that interaction really messed with me and definitely set me back a bit.
I've recently moved to the same city as her for my dream job. After getting settled I reached out again about getting my stuff back, and even offered to catch up if she still wanted to. She agreed to both, but her tone has been very aloof and indifferent.
I'm not sure what I want from this interaction, or even what to expect, but I primarily want to get my things back without it turning into an emotional rollercoaster for myself. The thought of seeing and speaking to her has kind of been messing with me the last few days. How should I go into this in order to protect myself and why do you think she's been holding onto my stuff for so long?
Hi all,
I've been prepping for the SIE exam for the last week and a bit using Knopman Marks. I've taken both diagnostic 1 & 2 and have gotten mid 80s on those but when i take a custom quiz of 85 questions I get mid 70s. The 10% drop-off is kind of making me hesitant as to whether I'm ready to write this exam. Is it normal to perform worse on the custom quizzes than the diagnostic exams and how do you know you are ready to take the exam?
Thanks in advance, really appreciate any advice!