Kaplan Schweser CFA Review Courses at Prudential Frequently Asked Questions

Who, What, When, Where

1. Who is eligible to register for the in-house review course? Any Prudential associate who is registered with the CFA Institute for the June 2016 Level I, II, or III CFA exam, and who has not already taken the in-house review course for the Level they are taking in June.

2. Are you running a course for all three levels? Yes, registration will be available for one Level I review course, one Level II review course, and one Level III review course. There will be 35 seats available for Level 1 candidates, 35 seats for Level 2 candidates, and 35 seats for Level 3 candidates. Enrollment will be on a first-come, first-served basis. If a course does not reach minimum enrollment of 25, it will be cancelled.

3. When and where are the courses taking place? The courses will run once per week, for 16 weeks, between January-May 2016. They will take place in the Gateway Center buildings (to offer after-hours access to both Newark Penn Station and the Gateway South Garage). The specific day of the week for each level will be determined based on instructors’ availability, and will be communicated before registration opens on October 7th.

Registration

1. When can I register for the course? First, you must be registered with the CFA Institute for the June 2016 Level I, II, or III exam. You will be asked for proof of exam registration if you successfully register for a review course. Registration for all three levels’ review courses will open in Learning Connection on Wednesday, October 7th.

2. How do I register for the course? By attending the Information Session on 10/01/15, you and your manager will be added to distribution list to receive the registration opening alert. To register, click on the link once it is provided. You can also search in Learning Connection for “Kaplan Schweser” on 10/07/15.

1. Click on the Register button on the top left in Learning Connection, to view the course description and dates.

2. Select the class in which you want to enroll. Then click Next. 3. Click the Submit button on the bottom left. 4. Since the class is chargeable, and requires manager approval, you will see this message at the

top:

You have not completed the registration process for one or more activities, as they may be in waiting list or pending approval state. Please verify the registration status of individual activities.

5. If the class is full once your manager approves, you will be added to the waitlist. 6. If there is still space in the class once your manager approves, you will receive confirmation of

your registration via email, and the class will be on your "To Do" list in Learning Connection.

3. How does my manager approve in Learning Connection? Once you complete the registration request process above, your manager can go into Learning Connection (in the default Learner tab at the top), hover over “Learner,” select the drop down “Learn” category listed on the right, then “Learner Approvals.” Then check the box next to your name from the list of approvals, click the arrow next to the “Approve Requests” box above the list, then click the final “OK” on the next screen in order to complete the approval. If there is still space in the class, you would then be added to the roster. If the class is full, you would be added to the waitlist.

Step by Step Instructions:

Materials

1. Are materials included in the in-house course, or do we have to buy our own? In addition to the 16-week live instruction course, Prudential is also covering the cost of the Schweser Essential Study Package, class slide workbooks (containing the instruction slides), and online access to the Schweser Online-Demand Video Instruction for all enrolled learners. Additional study materials, such as the Prudential Final Review Pack and Schweser’s Secret Sauce book, can be purchased on your own by calling 888-325-5072 ext. 2228.

2. When and how do we get the class materials? Once rosters are finalized on October 23rd, Prudential will coordinate with Kaplan Schweser to obtain the Schweser Essential Study Package and class slide workbooks, as well as to set-up the learners’ online access to the Schweser Online-Demand Video Instruction and Essential Study Package online components. Kaplan Schweser will ship all materials (upon availability) to the course coordinator at Prudential. The learners will then be notified by Prudential of when their Essential Study Package books can be picked up and the availability of their online account access. The Essential Study Package materials are expected to be available for pick-up by the end of October/early November. The Class Slide Workbooks will be provided to learners prior to the start of the course.

Course Rules

1. What if I have to miss a class? A maximum of 2 absences will be permitted, to accommodate for personal conflicts, work restraints, or illness. There will be a sign-in sheet and a sign-out sheet at each class, and attendance will be tracked by Prudential course coordinators. If anyone exceeds the 2 absences without appropriate justification, their manager will be notified and they may be subject to withdrawal from the program.

2. Will Prudential know if I pass the exam in June? As a learner in a Prudential-sponsored training course, you will be expected to complete a course evaluation at the conclusion of live classes in May. You are also obligated to report your exam results once results are released in July. Internal pass rates are not broadly communicated, they are used solely by course coordinators for internal evaluation of the value of Prudential-sponsored programs.

3. I’m taking Level I in December 2015. Can I join the Level II class if I pass? Can I join the Level I class if I don’t pass? December Level I candidates will not be permitted to register for any of the review courses when registration opens on October 7th. If there are still open seats in the Level I or II review courses, we will open late registration to December Level I candidates, on a first-come, first served basis, after results are released in January. We recommend that you consult with CFA preparation experts at Kaplan Schweser, before you commit to this study plan. You would be eligible to attend 14 out of the 16 classes, as two classes will have taken place before results are released. The material covered in the two missed classes would be your responsibility to self-study.

4. I took the in-house review course in 2015 and did not pass the exam in June 2015. Can I register for the 2016 review course for the same level? All Prudential associates are eligible to enroll in only one in-house review course per level. Once you pass the Level I or Level II exam, you can enroll in the in-house review course for the next level. If you need to retake an exam, and you’ve already completed the in-house review course for that level, you can view external Schweser offerings at schweserplusprudential.com.

5. Does the course count towards my Finance training hours requirement? Yes, the review courses in total will be a maximum of 48 hours (if all 16 classes are attended), and will be counted toward the 48 hour training required for CFO associates.

6. Does Prudential have study days? Prudential’s Industry Study Program guidelines dictate that Company time will not be provided for personal study time for the CFA Exams. Students must use personal days or vacation days for this purpose.

Exam Reimbursement

1. If I pass the exam in June, how do I get reimbursed for the exam fee? Within 90 calendar days of exam completion, you must complete an online application for Industry Study found at http://tamsonline.org/pru or by typing "industrystudy" in the browser. You must include a non-alterable (e.g. PDF) version of your passing exam results. Questions on Prudential’s Tuition Assistance Program must be directed to the Talent Organization.