...bank's global securities businesses (particularly US Equities and Swiss Treasury) that I diligently represented resulting in increasing customer business and attractive risk adjusted return on capital (RAROC). My career trajectory continued to expand beyond US domestic equity markets into global markets - Asia, Latin America, Europe as well as into other asset classes FX, Commodities, Fixed Income dictated by customer investment policies, the liberalization of markets, and the respective risk books. I accepted new business...
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Series 37 Tutoring FAQ
The Series 37 exam (or Canada Securities Representative Exam - With Options) is the Canadian equivalent of the Series 7 exam. It is administered by the Financial Industry Regulatory Authority (FINRA) and allows students who pass it to work in the United States as well as Canada. The Series 37 is a comprehensive test however, so preparing for it can be a challenging task. If you're looking for test prep help, Varsity Tutors can help you find an experienced Series 37 tutor who suits your needs.
The Series 37 consists of 90 multiple-choice questions administered on a computer over a two-and-a-half-hour testing period. The exam's syllabus breaks its contents into five job functions that financial professionals are expected to perform, including Seeking Business for the Broker-Dealer Through Customers and Potential Customers (25%), Evaluating Customers' Other Security Holdings, Financial Situation and Needs, Financial Status, Tax Status, and Investment Objectives (13%), Opening Accounts, Transferring Assets, and Maintaining Appropriate Account Records (20%), Providing Customers With Information on Investment and Making Suitable Recommendations (17%), and Obtaining and Verifying Customer Purchase and Sale Instructions, Entering Orders, and Following Up (25%).
Each of the job functions above demands a different set of skills, and most students preparing for the Series 37 are better at some than others. A private Series 37 tutor can design lesson plans with your individual needs in mind, improving the efficiency of time spent studying. For example, you can concentrate on the correct format for account records if that's what you find most challenging to remember. Any questions you have can also be handled in an expedient manner, allowing you to seek further clarification as required. Review courses are generally less adaptive to one student's specific needs, making them less efficient by comparison.
FINRA exams are also notorious for presenting scenarios that are unlike the practical situations that students would generally experience, which may cause them to trip up. It's best to learn what the test wants without bogging yourself down by asking why. Your Series 37 tutor can help you with this by providing practice exams and pointing out any deceptive questions so that you can identify them on your own. They may also show you how to eliminate certain answer choices if you need to guess. There is no penalty for guessing on the Series 37, so you should try to answer every question on the test.
If you're interested in engaging a Series 37 tutor but aren't sure how to do so, we can help you find somebody who suits your scheduling needs. Our Live Learning Platform is mobile-compatible, enabling you to meet with your tutor digitally wherever is most convenient for you. Reach out to us today for more information.
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