...foundation for our respective quantitative trading roles. I became a market maker, providing liquidity to the public orders, a specialist, keeping an orderly book of all public orders, and floor manager, overseeing the daily operations. The environment was dynamic, highly demanding, requiring laser focus, preparation and stamina. An integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new...
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Receive personally tailored Series 38 lessons from exceptional tutors in a one-on-one setting. We help you connect with the best tutor for your particular needs while offering flexible scheduling to fit your busy life.
Series 38 Tutoring FAQ
The Series 38 exam (or Canada Securities Representative Qualification Exam - No Options) is an abbreviated version of the Series 7 test designed to allow Canadian financial professionals to work in the United States. Notably, the test has no questions on municipal security trading, meaning that passing this test does not allow you to sell securities. It's still a robust exam though, so you may need expert help to prepare for it. Varsity Tutors can help you find an experienced, professional Series 38 tutor to assist you.
The Series 38 is a computer-based test consisting of 45 multiple-choice questions administered in a 75-minute testing session. Its syllabus breaks the content into five job functions that financial professionals perform everyday: Seeking Business for the Broker-Dealer Through Customers and Potential Customers (16%), Evaluating Customers' Other Security Holdings, Financial Situation and Needs, Financial Status, Tax Status, and Investment Objectives (16%), Opening Accounts, Transferring Assets, and Maintaining Appropriate Account Records (26%), Providing Customers with Information on Investments and Making Suitable Recommendations (22%), and Obtaining and Verifying Customer's Purchase and Sale Instructions, Entering Orders, and Following Up (20%).
There's a lot of different skills you'll need to cover on the test, but your Series 38 tutor can help you concentrate on whatever you need to focus on most. If you're great at evaluating a given customer's financial situation but have a harder time with the logistics of physically entering an order, your sessions can focus on the latter. Any questions you have can be answered promptly, and your unique learning style can be considered when your tutor is designing lesson plans. The result is a truly customized learning environment that stands in sharp contrast to a typical review course, where the majority usually dictate the focus.
The Series 38 is managed by FINRA (Financial Industry Regulatory Authority), an organization known for theoretical questions that are quite different from real financial experience. If a question doesn't make sense, you should accept it for what it is and choose the "least bad" of the four possible choices. Your Series 38 tutor can show you how to do this, even eliminating certain answers if you're stumped. There is no penalty for guessing on the Series 38, so it is always advantageous to respond to every question.
If you're ready to work with an expert Series 38 tutor, we can help you locate somebody who can help you reach for your academic goals. We also offer a mobile-compatible Live Learning Platform with useful features such as a virtual whiteboard and video chat capability that enhances the value of every study session. Contact us today to get started.
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