June 2008

Register online quickly Examination Dates

at www.cfainstitute.org CFA® Program Enrollment Exam and
Registration Form

DATES REGARDING THE JUNE 2008 CFA EXAMINATION

26 September Initial deadline for CFA Program enrollments and exam registrations
to be received by CFA Institute

November Past years’ constructed response essay examination questions and guideline answers
for Level III available online

15 February 2008 Second deadline for CFA Program enrollments and exam registrations
to be received by CFA Institute

March Online sample examinations available on the CFA Institute website

17 March Final deadline for CFA Program enrollments and exam registrations
to be received by CFA Institute

Late April Examination admission tickets available online

7 June 2008 examination day

8 June 2008 examination day in Eastern Asia and Oceania

June–July Examinations graded

Late July Examination results available online for Level I candidates

Late August Examination results available online for Level II and III candidates

PLEASE MAIL YOUR COMPLETED APPLICATION TO:

CFA Institute
560 Ray C. Hunt Drive
Charlottesville, VA 22903
USA
or fax to: +1 (434) 951-5240

PLEASE NOTE: Candidates who are registered for an examination may not
register for a subsequent examination until results are released.
 An Overview of the CFA Program
Complete details are available on the CFA Institute website: www.cfainstitute.org. Before the Examination
As a CFA candidate, you are responsible for understanding and
Code and Standards following all rules associated with the examination, including
When you enter the CFA Program, and ultimately if you are to calculator, identification, and personal belongings policies.
become a CFA charterholder, you are doing more than simply Violations of testing rules and policies can result in the voiding
mastering a body of knowledge; you are committing to the CFA of your examination results. To ensure compliance, please carefully
Institute Code of Ethics and Standards of Professional Conduct. review all candidate communications and other candidate
This commitment is not to be taken lightly; it demands that, above information at www.cfainstitute.org/toolkit.
all else, you put the interests of your clients first. There is nothing
that CFA Institute does as an organization that is of greater impor-
tance than promoting the use of its Code and Standards by Reservation of Right
investment professionals and enforcing the Code and Standards to Cancel Examination
among CFA Institute members and CFA candidates. These are CFA Institute, in its sole discretion, may determine it is necessary
standards of integrity that you must abide by as long as you are a to change the date, time, or conditions of the administration of
CFA candidate and/or a CFA Institute member. the examination or cancel the administration of the examination
to protect the safety of candidates and the integrity of the CFA
Program. Such alterations or cancellations may also occur if the
Policies administration of the examination is hindered by any cause that
Carefully review this application and the complete CFA Program could not reasonably be prevented by CFA Institute, including
details found on the CFA Institute website to fully understand the “acts of God”—such as fire, flood, earthquake, storm, outbreak
conditions, requirements, policies, and procedures to which you of disease, or other natural disaster—and by acts of military, politi-
must adhere as a condition of participation in the CFA Program. cal, or government authority. If alterations or cancellations occur,
candidates will be notified as soon as possible. However, if the
All CFA Institute policies go into effect immediately upon submission examination proceeds as scheduled, those who fail to attend will
of an application to CFA Institute. You are responsible for reading and be ineligible for a refund or deferral.
understanding all policies, as found at www.cfainstitute.org/cfaprog/
resources/examdetails/policies/ regarding CFA Institute, the CFA
Program, and CFA examination administration before applying. Basic Entrance Requirements
Once you submit your form for the CFA Program to CFA Institute, your • The CFA Program is postgraduate; curriculum in the study
CFA Program fees are non-refundable and non-transferable. program and questions on the examinations are designed
for individuals prepared for an advanced level of self-study
CFA Institute may change its conditions, requirements, policies, course work.
and procedures governing the CFA Program and CFA Institute
membership from time to time. Candidates and members are • There are no specific prerequisite courses for the CFA
required to adhere to the revised conditions, requirements, poli- Program, but applicants should have a mastery of
cies, and procedures, which will be published in various CFA candi- concepts typically presented in introductory-level college
date communications, CFA Magazine, CFA Institute Bylaws, and on economics and accounting courses.
the CFA Institute website at www.cfainstitute.org.

Use of Contact Information

For information on how CFA Institute may use or release your
contact information, please read the privacy policy posted on the
CFA Institute website at www.cfainstitute.org.

Earn your place in the investment world. Learn more at www.cfainstitute.org.

 CFA Charter Requirements
• To enter the CFA Program, an applicant must To be awarded and retain the CFA charter, a candidate must
1) have a bachelor’s degree (US or comparable non-US • sequentially pass the Level I, Level II, and Level III examinations;
degree) or be a college or university student in his or her
final undergraduate year at the time of registration, • have at least four years of acceptable professional experience
scheduled to receive a bachelor’s degree (students who working in the investment decision-making process;
successfully complete Level I of the CFA examination will
not be allowed to progress to Level II until CFA Institute • apply for membership in a CFA Institute member society; and
receives degree confirmation);
• join CFA Institute as a regular member.
or
2) have at least four years of qualified professional work Once a candidate becomes a CFA charterholder, he or she must
experience or have a combination of college/university comply with the CFA Institute conditions, requirements, policies,
and qualified professional work experience that totals at and procedures applicable to a CFA charterholder and CFA
least four years. (The work experience does not have to be Institute member.
investment-related, but summer, part-time, and internship
positions do not qualify; the four-year work and education For full details and to apply for CFA Institute and society member-
total must be accrued by date of application.) ship, visit www.cfainstitute.org.

Exam Preparation Application Processing

• Candidates may access a wealth of resources in • For immediate processing, please use online registration:
the Candidate Preparation Toolkit, available online at www.cfainstitute.org/cfaprog/register/
www.cfainstitute.org/toolkit.
• CFA Institute is not responsible for lost shipments or mail that
• CFA Program curriculum is included in the exam registration is not received by deadlines.
fees for all levels. The CFA Program curriculum is driven by a
• To ensure that any forms you mail can be tracked if not received
rigorous global practice analysis to determine the knowledge
by CFA Institute, we strongly suggest that you use an overnight
relevant to the profession. The content in the curriculum is the
carrier.
sole source for exam questions. Please visit www.cfainstitute.org/
toolkit to learn more.
• Mail your completed application to: CFA Institute,
560 Ray C. Hunt Drive, Charlottesville, VA 22903, USA;
• At CFA Institute, we believe that candidates need to commit to
or fax to: +1 (434) 951-5240.
a minimum of 250 hours reading and reviewing the curriculum
and taking online sample exams to master the material. This
• Application processing may take up to three weeks.
recommendation, however, may substantially underestimate the
hours needed for appropriate examination preparation, depend- • After an application is approved and all entrance requirements
ing on individual circumstances and academic background. are met, you will receive an official acceptance notification by
e-mail.

Exam Administration • If you do not receive an official acceptance notification or a

• The Level I examination is offered in June and December; notice of incomplete application within 30 days after mailing
Levels II and III are offered only in June. your application, it is your responsibility to contact customer
service: www.cfainstitute.org/aboutus/contact/
• Candidates may register for only one examination at a time
and must wait to receive their examination results before • Applications must be entirely complete and include payment
registering for the next examination. in full. All incomplete applications will be returned to sender
unprocessed.

Register online Quickly at www.cfainstitute.org.

 Application June 2008 CFA Program Enrollment and Exam Registration Fee Schedule
and payment must be
received by CFA Institute by Failure to pay correct amount will result in cancellation of application; all fees payable in US funds only.
midnight US eastern time on
or before the application
deadline

Received on or before 26 September 2007 Received on or before 15 February 2008 Received on or before 17 March 2008
CFA Program Exam CFA Program Exam CFA Program Exam
enrollment + registration* = Total cost enrollment + registration* = Total cost enrollment + registration* = Total cost

Level I $390 + $600 = $990 Level I $390 + $688 = $1078 Level I $465 + $930 = $1395

Level II n/a $600 $600 Level II n/a $688 $688 Level II n/a $930 $930

Level III n/a $600 $600 Level III n/a $688 $688 Level III n/a $930 $930

*The exam registration fee also includes the complete CFA Program curriculum for that level and one online sample exam. Candidates registering to repeat a failed
exam should deduct $50 from these exam registration fees. Visit www.cfainstitute.org/toolkit to learn more.

The curriculum portion of the fees will be taxed in GA, MA, NY, NJ, VA, PA, IL and Canada.

Fee Schedule
Applicants pay an initial one-time enrollment fee upon entering the CFA Program. In addition, applicants are required to pay a registration fee for each examination.
New Level I registrants pay both fees. Returning candidates pay only the exam registration fee.
CFA Institute Policy on Refunds
All CFA Program fees are non-refundable and non-transferable. Visit www.cfainstitute.org for complete details.

Exam Information
• You must select a test center at time of registration.
• Visit www.cfainstitute.org/cfaprog/resources/examdetails/ for complete details and forms to request accommodations.

June 2008 Test Centers

You must select a test center from the list below and write the corresponding code in the spaces provided on the CFA Program Registration Form. Test centers are located in,
or within reasonable travel distance of, these cities. CFA Institute will make every effort to place candidates in the test center selected; however, space considerations may
require placement at an alternate site. Final test center confirmation will be on the examination admission ticket. The examination will be given on Saturday, 7 June, except at
those test centers noted by an asterisk (*), where it will be given on Sunday, 8 June.

AFRICA/MIDDLE EAST CENTRAL & SOUTH AMERICA/ Luxembourg . . . . . . . . . . . . . LUX *Seoul, Korea . . . . . . . . . . . . . . SEO Little Rock, AR . . . . . . . . . . . LRK
Abu Dhabi, UAE . . . . . . . . . ABD THE CARIBBEAN/BERMUDA Madrid, Spain . . . . . . . . . . . MAS *Shanghai, PRC . . . . . . . . . . . . SHG Los Angeles, CA . . . . . . . . . . LOS
Accra, Ghana . . . . . . . . . . . . GHN Barbados, West Indies . . . BAR Malta . . . . . . . . . . . . . . . . . . . . MAL *Singapore . . . . . . . . . . . . . . . . SNG Louisville, KY . . . . . . . . . . . . . LOU
Amman, Jordan . . . . . . . . . AMN Bogota, Colombia . . . . . . . . BOG Milan, Italy . . . . . . . . . . . . . . MIT *Sydney, Australia . . . . . . . . . SYD Madison, WI . . . . . . . . . . . . . MAD
Beirut, Lebanon . . . . . . . . . BEI Buenos Aires, Argentina . BUE Moscow, Russia . . . . . . . . . . MOS *Taipei, ROC . . . . . . . . . . . . . . . TAI Memphis, TN . . . . . . . . . . . . MEM
Cairo, Egypt . . . . . . . . . . . . . CAI Caracas, Venezuela . . . . . . . CAR Munich, Germany . . . . . . . MUN *Tokyo, Japan . . . . . . . . . . . . . . TOK Miami, FL . . . . . . . . . . . . . . . . MIA
Cape Town, So. Africa . . . . CAP Cayman Islands, BWI . . . . CAY Nicosia, Cyprus . . . . . . . . . . NIC *Wellington, New Zealand . WEL Milwaukee, WI . . . . . . . . . . MIL
Harare, Zimbabwe . . . . . . . ZIM Guatemala City, Paris, France . . . . . . . . . . . . . PAR Minneapolis, MN . . . . . . . . MIN
Jeddah, Saudi Arabia . . . . . JED Guatemala . . . . . . . . . . . . . GUA Prague, Czech Republic . . PRG UNITED STATES Montpelier, VT . . . . . . . . . . . MOP
Johannesburg, So. Africa . JOH Hamilton, Bermuda . . . . . HAM Reykjavik, Iceland . . . . . . . . ICE Albuquerque, NM . . . . . . . ALB Naples, FL . . . . . . . . . . . . . . . NAP
Manama, Bahrain . . . . . . . MAN Kingston, Jamaica . . . . . . . KIN Riga, Latvia . . . . . . . . . . . . . . RIG Anchorage, AK . . . . . . . . . . . ANC Nashville, TN . . . . . . . . . . . . NSH
Muscat, Oman . . . . . . . . . . MUS Lima, Peru . . . . . . . . . . . . . . . LIM Skopje, Macedonia . . . . . . SKP Atlanta, GA . . . . . . . . . . . . . . ATL New Orleans, LA . . . . . . . . . NOR
Nairobi, Kenya . . . . . . . . . . . NAI Mexico City, Mexico . . . . . MEX Sofia, Bulgaria . . . . . . . . . . . SOF Austin, TX . . . . . . . . . . . . . . . AUS New York Metro Area:
Port Louis, Mauritius . . . . MAU Nassau, Bahamas . . . . . . . NAS Stockholm, Sweden . . . . . STO Baltimore, MD . . . . . . . . . . . BAL Long Island . . . . . . . . . . . . NYL
Riyadh, Saudi Arabia . . . . . RYD Panama City, Panama . . . PAN Vienna, Austria . . . . . . . . . . VNA Birmingham, AL . . . . . . . . . BIR New York City . . . . . . . . . NYC
Safat, Kuwait . . . . . . . . . . . . KUW Port-of-Spain, Trinidad . . . PSP Vilnius, Lithuania . . . . . . . . VIL Boise, ID . . . . . . . . . . . . . . . . . BOI Northern New Jersey . . NYJ
*Tel Aviv, Israel . . . . . . . . . . . . ISR San Juan, Puerto Rico . . . . SNJ Warsaw, Poland . . . . . . . . . WAR Boston, MA . . . . . . . . . . . . . . BOS Westchester County . . . NYW
Tunis, Tunisia . . . . . . . . . . . . . TUN Santiago, Chile . . . . . . . . . . STG Zagreb, Croatia . . . . . . . . . . CRO Buffalo, NY . . . . . . . . . . . . . . BUF Omaha, NE . . . . . . . . . . . . . . OMA
Windhoek, Namibia . . . . . . NAM Sao Paulo, Brazil . . . . . . . . . SPB Zurich, Switzerland . . . . . . ZUR Charlotte, NC . . . . . . . . . . . . CHL Philadelphia, PA . . . . . . . . . PHL
Chattanooga, TN . . . . . . . . CHA Phoenix, AZ . . . . . . . . . . . . . PHX
CANADA EUROPE ASIA/OCEANIA Chicago, IL . . . . . . . . . . . . . . . CHI Pittsburgh, PA . . . . . . . . . . . PIT
Calgary, AB . . . . . . . . . . . . . . CAL Amsterdam, *Almaty, Kazakhstan . . . . . . ALM Cincinnati, OH . . . . . . . . . . . CIN Portland, ME . . . . . . . . . . . . POM
Edmonton, AB . . . . . . . . . . . EDM the Netherlands . . . . . . AMS *Auckland, New Zealand . . AUK Cleveland, OH . . . . . . . . . . . CLE Portland, OR . . . . . . . . . . . . . POR
Fredericton, NB . . . . . . . . . . NBF Athens, Greece . . . . . . . . . . ATH *Bangkok, Thailand . . . . . . . . BAK Columbia, SC . . . . . . . . . . . . CSC Providence, RI . . . . . . . . . . . PRO
Halifax, NS . . . . . . . . . . . . . . HAL Baku, Azerbaijan . . . . . . . . . BAZ *Beijing, PRC . . . . . . . . . . . . . . BJG Columbus, OH . . . . . . . . . . . COL Richmond, VA . . . . . . . . . . . RIC
Kelowna, BC . . . . . . . . . . . . . .KEL Belgrade, Serbia . . . . . . . . . . BEL *Brunei . . . . . . . . . . . . . . . . . . . . BRN Dallas, TX . . . . . . . . . . . . . . . . DAL Rochester, NY . . . . . . . . . . . . ROC
London, ON . . . . . . . . . . . . . .LND Bilbao, Spain . . . . . . . . . . . . BIL *Colombo, Sri Lanka . . . . . . . SRI Denver, CO . . . . . . . . . . . . . . DEN Sacramento, CA . . . . . . . . . SAC
Montreal, QC . . . . . . . . . . . . MON Brussels, Belgium . . . . . . . . BRU *Dhaka, Bangladesh . . . . . . . DHK Des Moines, IA . . . . . . . . . . DES Salt Lake City, UT . . . . . . . . SLC
Ottawa, ON . . . . . . . . . . . . . OTA Bucharest, Romania . . . . . BUC *Guangzhou, PRC . . . . . . . . . . GHZ Detroit, MI . . . . . . . . . . . . . . DET San Antonio, TX . . . . . . . . . SAN
Quebec, QC . . . . . . . . . . . . . . QUE Budapest, Hungary . . . . . . BUD *Hanoi, Vietnam . . . . . . . . . . . HAN Grand Rapids, MI . . . . . . . . GRM San Diego, CA . . . . . . . . . . . SD
Regina, SK . . . . . . . . . . . . . . . REG Copenhagen, Denmark . . COP *Ho Chi Minh City, Vietnam HCM Hartford, CT . . . . . . . . . . . . . HAR San Francisco, CA . . . . . . . . SF
St. Johns, NF . . . . . . . . . . . . . STJ Dublin, Ireland . . . . . . . . . . DUB *Hong Kong . . . . . . . . . . . . . . . HNK Helena, MT . . . . . . . . . . . . . . HEL Seattle, WA . . . . . . . . . . . . . . SEA
Toronto, ON . . . . . . . . . . . . . TOR Edinburgh, Scotland . . . . . EDN *Jakarta, Indonesia . . . . . . . . JAK Honolulu, HI . . . . . . . . . . . . . HNL Spokane, WA . . . . . . . . . . . . . SPO
Vancouver, BC . . . . . . . . . . . VAN Frankfurt, Germany . . . . . . GER *Karachi, Pakistan . . . . . . . . . KAR Houston, TX . . . . . . . . . . . . . HOU St. Louis, MO . . . . . . . . . . . . STL
Victoria, BC . . . . . . . . . . . . . . VIC Geneva, Switzerland . . . . . GEN *Kathmandu, Nepal . . . . . . . . KAT Indianapolis, IN . . . . . . . . . . IND Tampa, FL . . . . . . . . . . . . . . . . TAM
Winnipeg, MB . . . . . . . . . . . WIN Helsinki, Finland . . . . . . . . . HEF *Kuala Lumpur, Malaysia . . KUL Jackson, MS . . . . . . . . . . . . . JAC Washington, DC . . . . . . . . . WAS
Yellowknife, NT . . . . . . . . . . YKF Istanbul, Turkey . . . . . . . . . . IST *Lahore, Pakistan . . . . . . . . . . LAH Jacksonville, FL . . . . . . . . . . JAX Wilmington, DE . . . . . . . . . WIL
Kiev, Ukraine . . . . . . . . . . . . UKR *Manila, the Philippines . . . MLA Juneau, AK . . . . . . . . . . . . . . JUN
Lisbon, Portugal . . . . . . . . . LIS *Melbourne, Australia . . . . . MEL Kansas City, MO . . . . . . . . . KC
London, England . . . . . . . . LON *Perth, Australia . . . . . . . . . . . PER Las Vegas, NV . . . . . . . . . . . . LAS
 CFA Institute Identification Number
(if previously assigned)

June 2008
Print legibly or type; all information must be completed unless otherwise CFA® Program Enrollment and Exam Registration Form
indicated. Incomplete applications will be returned unprocessed. Register online quickly at www.cfainstitute.org

Personal Information GENDER: (CHECK ONE) Government Issued Photo ID Number Please provide the number of Birth Date
the government issued photo
PREFIX: (CHECK ONE) Mr. Miss Ms. Male identification you will bring with
you to the test center on exam day.
Mrs. Dr. Prof. Rev. Hon. Female DAY MONTH YEAR

FIRST (GIVEN) NAME MIDDLE NAME OR INITIAL LAST NAME (SURNAME OR FAMILY NAME) SUFFIX

PRIMARY E-MAIL ADDRESS SECONDARY E-MAIL ADDRESS

Contact Information Preferred Communications to: Home Business

HOME MAILING ADDRESS LINE 1 ADDRESS LINE 2

CITY STATE/PROVINCE COUNTRY ZIP+4/POSTAL CODE

HOME TELEPHONE HOME FAX

COUNTRY CODE AREA/CITY CODE LOCAL NUMBER COUNTRY CODE AREA/CITY CODE LOCAL NUMBER

BUSINESS NAME

BUSINESS MAILING ADDRESS LINE 1 ADDRESS LINE 2

CITY STATE/PROVINCE COUNTRY ZIP+4/POSTAL CODE

BUSINESS TELEPHONE BUSINESS FAX

COUNTRY CODE AREA/CITY CODE LOCAL NUMBER EXTENSION COUNTRY CODE AREA/CITY CODE LOCAL NUMBER

CFA Institute will share your contact information with member societies. Please check this box if you would like us also to provide your name and postal addresses
to preparatory course providers. (see www.cfainstitute.org/aboutus for complete privacy policy)
Exam Information Test Center Code You MUST enter a 2 or 3 letter test center code.
(see attached test center list)

Education You must have a bachelor’s degree (US or comparable non-US degree) or professional work experience to qualify for entrance into the CFA Program.
All new Level I applicants must select one of the following statements and enter all related information:

I have completed a bachelor’s degree (US or comparable non-US degree) or higher.

Date highest college/university degree received: Name of college/university:
Month Year Location (city/country):
Highest degree earned:

I certify that I am a student in the final year of my degree program. I understand that failure to inform CFA Institute of my degree receipt will
prevent me from registering for the Level II exam. Number of full-time college/university years completed:
Name of college/university:
Location (city/country):

I do not have a bachelor’s degree (US or comparable non-US degree), but I have a combination of at least four years of college/university and
professional work experience. (You must send CFA Institute a list of all current and previous full-time professional employment, including employment
dates [month/year] and a detailed description of your duties.) Summer, part-time, and internship positions do not qualify. This information should be
sent directly to the Candidate and Member Services Department and include your CFA Institute ID number; Fax: +1 (434) 951-5290
or e-mail: [email protected].
Number of full-time college/university years completed:
Visit www.cfainstitute.org/cfaprogram for complete details
Payment US Dollars Only (See attached schedule of fees) Paying by credit card? Register online Quickly & securely.

Paid By: Applicant Applicant’s Business/Employer

Credit Card (CFA Institute only accepts VISA, MasterCard, American Express, Diners Club, and JCB.)
PLEASE NOTE: CFA Institute does not accept Discover or debit cards. CFA Institute does not invoice for payment.

Card Number: Expiration Date:

Month Year
Name as it appears on card:
Signature: X
Check/Money Order (payable to CFA Institute in US dollars only) – Check No. Please
Complete
Back
This form is for the June 2008 Examination Only
Professional Conduct InQuiry (required of all applicants) Candidate Professional Conduct Statement
(this section to be completed only by previously registered candidates)
Please answer all eight questions (A–H). Failure to meet the professional
Please answer questions A and B by marking one of the appropriate boxes.
conduct criteria may result in cancellation of your application:
You must mark an affirmative response if either one of the
A. Suspension: Are you currently, or within the last five years have you been, questions applies. Any matter described in Questions A and B must be
the subject of disciplinary action by a regulatory organization or disclosed, even if the matter is still pending.
judicial court that resulted in a temporary suspension from:
Since becoming a candidate in the CFA Program, have you been:
(a) participation in the financial services markets OR
(b) association with a financial services institution? A. the subject of, a defendant to, or respondent in any investigation, civil
Yes No litigation, arbitration, or other action or proceeding in which your profes-
sional conduct, in either a direct or supervisory capacity, was at issue, or
B. Expulsion: Are you currently, or within the last five years have you been,
the subject of disciplinary action by a regulatory organization or judicial B. the subject of a written complaint regarding your professional conduct
court that resulted in a permanent or indefinite suspension from: in either a direct or supervisory capacity?

(a) participation in the financial services markets OR No Yes, matter currently under investigation by CFA Institute
(b) association with a financial services institution? Yes, not previously disclosed to CFA Institute
Yes No Yes, matter previously investigated by CFA Institute; review concluded

C. Prohibitions and Restrictions: In the last five years, has a regulatory

organization or judicial court denied you trading privileges or prevented
you from: Candidate Responsibility Statement
(a) trading on a securities or contract market, OR I understand, accept, and agree to comply with all conditions, require-
(b) acting as a person required to be registered under a law or ments, policies, and procedures for the CFA Program established by CFA
regulation, OR Institute and as amended from time to time. I understand that such con-
(c) acting as an affiliated person or employee of a financial services ditions, requirements, policies, and procedures include all material set
institution? forth on the CFA Institute website for this year’s examinations as well as
Yes No the CFA Institute and its subsidiary organizations’ Articles of Incorporation
D. Convictions: (a) In the last five years, have you been convicted of a crime and Bylaws; Code of Ethics; Standards of Professional Conduct; Rules of
punishable by less than one year in prison or jail (or otherwise defined as a Procedure for Proceedings Related to Professional Conduct; and other con-
misdemeanor) involving lying, cheating, stealing, or other ditions, requirements, policies, and procedures that may be established
dishonest conduct? and amended from time to time, information about which is available by
Yes No contacting CFA Institute at (800) 247-8132 or +1(434) 951-5499 or on the
CFA Institute website: www.cfainstitute.org. I understand that CFA
(b) Have you ever been convicted of a crime punishable by one year or more Institute has the authority to enforce its conditions, requirements, policies,
in prison or jail (or otherwise defined as a felony)? and procedures against me and may reject, suspend, or terminate my
Yes No candidacy at any time or decline to award me the right to use the CFA
If yes to (a) or (b) or both, you must provide the following information: date designation for my failure to satisfactorily meet any such conditions,
of the conviction, whether the crime was punishable by less than or more requirements, policies, and procedures.
than one year in prison or jail, and a description of the conduct that caused
the conviction. I understand that all CFA Program fees are non-refundable and non-
transferable.
E. Damage Claims: In the last five years, has your professional conduct, in
either a direct or supervisory capacity, been the subject of litigation, arbitra- I understand that any dispute arising from CFA Institute conditions,
tion, a complaint, or other claim for damages that was resolved for an requirements, policies, and procedures shall be governed in all respects by
amount exceeding $20,000 (US)? the law of the Commonwealth of Virginia. The exclusive forum for any
Yes No such disputes shall be the state and federal courts located in the
F. Disciplinary Action: In the last five years, have you been the subject of Commonwealth of Virginia.
disciplinary action by a regulatory organization, judicial court, or financial
services institution that resulted in withholding of commissions or a I represent that the information contained in my application, including my
monetary fine in an amount exceeding $20,000 (US)? response to the Professional Conduct Inquiry and Candidate Professional
Yes No Conduct Statement, is truthful and complete, and I agree to notify CFA
Institute of any material changes to my responses to any of the questions
G. Assisting in a Violation: In the last five years, has a regulatory organiza- on this form, including my current address(es).
tion or judicial court found that your conduct caused another person or
financial services institution to violate a securities or commodities related
law, rule, or regulation?
Yes No
H. Caused Suspension or Expulsion: In the last five years, has a regulatory
organization or judicial court found that your conduct caused:
(a) another person to be temporarily or permanently prevented from being
associated with a financial services institution or participating in the finan-
cial services markets OR
(b) a financial services institution to be temporarily or permanently
prevented from participating in the financial services markets?
Yes No
SIGNATURE REQUIRED X

PRINT NAME DATE

please review this form to make sure all information is complete and retain a copy for your records.
all incomplete forms will be returned unprocessed.
This form is for the June 2008 Examination Only