Series 65 || A Verified A+ Pass. Mastery examination Chapters 1-4 Series 65 Exam || with 100% Error-free Solutions. Series 65 final Exam prep * || with Complete Solutions. Series 65 final exam || with 100% Verified Solutions. Series 65 Exam-Prep Final || Questions and 100% Verified Answers. Series ...
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During a recession an Investor will buy _______________ bonds, and sell ________________ bonds. correct answers corporate | government The yield spread between government and corporate bonds during a recession should _____________ correct answers widen Ad Valorem tax correct answers A tax levi...
Voorbeeld 3 van de 17 pagina's
In winkelwagenDuring a recession an Investor will buy _______________ bonds, and sell ________________ bonds. correct answers corporate | government The yield spread between government and corporate bonds during a recession should _____________ correct answers widen Ad Valorem tax correct answers A tax levi...
What is the *3 Pronged Approach*? correct answers Test used by SEC to determine if an entity meets the definition of an investment adviser. 1. Does the Person provide investment advice relating to securities and based on the client's situation? 2. Does the person receive compensation as a resul...
Voorbeeld 4 van de 89 pagina's
In winkelwagenWhat is the *3 Pronged Approach*? correct answers Test used by SEC to determine if an entity meets the definition of an investment adviser. 1. Does the Person provide investment advice relating to securities and based on the client's situation? 2. Does the person receive compensation as a resul...
Investment contract according to 1933 act correct answers - Investment of money - Common enterprise - Expectation of profit - Results solely from the effort of other Underwriter correct answers - Buys securities from an issuer with intention of selling it - Does not include brokerage firm e...
Voorbeeld 2 van de 8 pagina's
In winkelwagenInvestment contract according to 1933 act correct answers - Investment of money - Common enterprise - Expectation of profit - Results solely from the effort of other Underwriter correct answers - Buys securities from an issuer with intention of selling it - Does not include brokerage firm e...
Under the Uniform Securities Act, which individual is considered to be an agent? A secretary who accepts customers' securities orders A principal of a broker-dealer A person who solely performs clerical functions A silent partner of a broker-dealer correct answers A secretary who accepts cust...
Voorbeeld 4 van de 44 pagina's
In winkelwagenUnder the Uniform Securities Act, which individual is considered to be an agent? A secretary who accepts customers' securities orders A principal of a broker-dealer A person who solely performs clerical functions A silent partner of a broker-dealer correct answers A secretary who accepts cust...
Dollar cost averaging plans have which of the following features? I. They are voluntary plans. II. They entail purchasing the same number of shares each period. III. Investors are penalized for missing subsequent investment periods. IV. The investor's personal share cost will be lower than the shar...
Voorbeeld 4 van de 36 pagina's
In winkelwagenDollar cost averaging plans have which of the following features? I. They are voluntary plans. II. They entail purchasing the same number of shares each period. III. Investors are penalized for missing subsequent investment periods. IV. The investor's personal share cost will be lower than the shar...
state correct answers brochure, 48 hour delivery, 120 day for annual change Federal correct answers Prospectus (IPO) Open end correct answers sales charge + NAV Close end correct answers demand and supply (stock exchange) Buyer correct answers get the right Seller correct answers obli...
Voorbeeld 2 van de 8 pagina's
In winkelwagenstate correct answers brochure, 48 hour delivery, 120 day for annual change Federal correct answers Prospectus (IPO) Open end correct answers sales charge + NAV Close end correct answers demand and supply (stock exchange) Buyer correct answers get the right Seller correct answers obli...
Investment Advisor correct answers "any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensat...
Voorbeeld 3 van de 27 pagina's
In winkelwagenInvestment Advisor correct answers "any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensat...
Harold is interested in stable companies with a consistent dividend payment history. Which of the following best suit Harold's interest? I. High-yield bond fund II. Blue chip fund III. Utility equities fund IV. GNMA fund a)I and III b)I and IV c)II and III d)II and IV correct answers c)II and I...
Voorbeeld 3 van de 16 pagina's
In winkelwagenHarold is interested in stable companies with a consistent dividend payment history. Which of the following best suit Harold's interest? I. High-yield bond fund II. Blue chip fund III. Utility equities fund IV. GNMA fund a)I and III b)I and IV c)II and III d)II and IV correct answers c)II and I...
Prospectus (1933) correct answers -all material facts -given no later than w/confirmation of sale -all forms of communication except word of mouth Estate tax correct answers -unlimited amount to US spouse/charity, no fed tax -Assets sold at FMV -Payment no more than 9 months after death Fo...
Voorbeeld 4 van de 170 pagina's
In winkelwagenProspectus (1933) correct answers -all material facts -given no later than w/confirmation of sale -all forms of communication except word of mouth Estate tax correct answers -unlimited amount to US spouse/charity, no fed tax -Assets sold at FMV -Payment no more than 9 months after death Fo...
Authorized stock that has not been sold or distributed is referred to as correct answers Unissued stock The term for active stock that represents the # of shares owned by the public is correct answers Outstanding stock A person wishes to open an account with you without giving financial status...
Voorbeeld 4 van de 121 pagina's
In winkelwagenAuthorized stock that has not been sold or distributed is referred to as correct answers Unissued stock The term for active stock that represents the # of shares owned by the public is correct answers Outstanding stock A person wishes to open an account with you without giving financial status...
1. Investment Advisory Representative (IAR) correct answers 1. Upon passing the series 65 the agent may represent an registered investment adviser (RIA) and receive fee based compensation. The fee based compensation may be based on a percentage of the assets under management or as an hourly or flat ...
Voorbeeld 3 van de 26 pagina's
In winkelwagen1. Investment Advisory Representative (IAR) correct answers 1. Upon passing the series 65 the agent may represent an registered investment adviser (RIA) and receive fee based compensation. The fee based compensation may be based on a percentage of the assets under management or as an hourly or flat ...
Blue Sky Laws correct answers Synonymous for Uniform Securities Act Conservatorship correct answers Type of estate where a court-appointed guardian takes control of an incapacitated individual's financial, real estate, and other monetary affairs. National Securities Market Improvement Act of ...
Voorbeeld 1 van de 4 pagina's
In winkelwagenBlue Sky Laws correct answers Synonymous for Uniform Securities Act Conservatorship correct answers Type of estate where a court-appointed guardian takes control of an incapacitated individual's financial, real estate, and other monetary affairs. National Securities Market Improvement Act of ...
variable payments variable rate of return investment risk assumed by annuitant portfolio of equities, debt, money market funds separate account resistant to inflation insurance and securities regulation correct answers variable annuities agent must have: securities license registered by...
Voorbeeld 2 van de 7 pagina's
In winkelwagenvariable payments variable rate of return investment risk assumed by annuitant portfolio of equities, debt, money market funds separate account resistant to inflation insurance and securities regulation correct answers variable annuities agent must have: securities license registered by...
ABC Corporation's 5% mortgage bond is currently trading at a premium. The bond is callable at par in 10 years and matures in 15 years. When comparing the returns available to an investor, it would be accurate to state correct answers the yield to maturity is higher than the yield to call. All of...
Voorbeeld 2 van de 10 pagina's
In winkelwagenABC Corporation's 5% mortgage bond is currently trading at a premium. The bond is callable at par in 10 years and matures in 15 years. When comparing the returns available to an investor, it would be accurate to state correct answers the yield to maturity is higher than the yield to call. All of...
corp or trust of pooled funds to invest in large diversified portfolios correct answers investment company professional management diversification lower transaction cost correct answers benefit of investment company raise capital by selling share to public registration and prospectus requir...
Voorbeeld 2 van de 11 pagina's
In winkelwagencorp or trust of pooled funds to invest in large diversified portfolios correct answers investment company professional management diversification lower transaction cost correct answers benefit of investment company raise capital by selling share to public registration and prospectus requir...
In their advertising campaigns, state-registered investment advisers are prohibited from doing all of the following except correct answers offering free services. If an investment adviser has engaged a website designer, what may the designer include on the website? correct answers A general descr...
Voorbeeld 2 van de 15 pagina's
In winkelwagenIn their advertising campaigns, state-registered investment advisers are prohibited from doing all of the following except correct answers offering free services. If an investment adviser has engaged a website designer, what may the designer include on the website? correct answers A general descr...
One of your new clients has only been working for 3 years but is already interested in retirement planning. In order to be fully eligible for Social Security, the client must correct answers have a minimum of 40 covered quarters of employment. Several investors open an account in joint tenancy. F...
Voorbeeld 2 van de 9 pagina's
In winkelwagenOne of your new clients has only been working for 3 years but is already interested in retirement planning. In order to be fully eligible for Social Security, the client must correct answers have a minimum of 40 covered quarters of employment. Several investors open an account in joint tenancy. F...
If an agent of a broker-dealer registers in State F in early November, when will their registration expire and need to be renewed? correct answers December 31st of that same year. State registration for all securities professionals expires on December 31st following the date of registration. Who ...
Voorbeeld 4 van de 46 pagina's
In winkelwagenIf an agent of a broker-dealer registers in State F in early November, when will their registration expire and need to be renewed? correct answers December 31st of that same year. State registration for all securities professionals expires on December 31st following the date of registration. Who ...
Definition of Security correct answers 1. Investment of money 2.In a common enterprise 3. With an expectation of profit 4.Results solely from the efforts of others What are considered securities? correct answers 1. Stock 2. Bond 3. Debenture 4. Right or warrant 5. Note 6. Put, call, stra...
Voorbeeld 3 van de 28 pagina's
In winkelwagenDefinition of Security correct answers 1. Investment of money 2.In a common enterprise 3. With an expectation of profit 4.Results solely from the efforts of others What are considered securities? correct answers 1. Stock 2. Bond 3. Debenture 4. Right or warrant 5. Note 6. Put, call, stra...
If proper filing fees are not paid with the registration statement the Administrator will most likely correct answers Enter a denial order that will be released when the fees are received. In the event the proper filing fees are not received, the Administrator will issue a denial order that will ...
Voorbeeld 2 van de 7 pagina's
In winkelwagenIf proper filing fees are not paid with the registration statement the Administrator will most likely correct answers Enter a denial order that will be released when the fees are received. In the event the proper filing fees are not received, the Administrator will issue a denial order that will ...
Which of the following items does NOT fall within the Section 28(e) safe harbor? A) Software used to analyze client's portfolios B) Research reports prepared by a third party other than the broker-dealer C) Proprietary research reports analyzing the performance of a specific industry D) Sof...
Voorbeeld 3 van de 29 pagina's
In winkelwagenWhich of the following items does NOT fall within the Section 28(e) safe harbor? A) Software used to analyze client's portfolios B) Research reports prepared by a third party other than the broker-dealer C) Proprietary research reports analyzing the performance of a specific industry D) Sof...
An options strategy that would be most useful for an investor with a long position in a stock who is concerned that a proposed management change will negatively impact the stock's price would be to A) buy a put on that stock. B) sell a call on that stock. C) buy a call on that stock. D) sel...
Voorbeeld 3 van de 29 pagina's
In winkelwagenAn options strategy that would be most useful for an investor with a long position in a stock who is concerned that a proposed management change will negatively impact the stock's price would be to A) buy a put on that stock. B) sell a call on that stock. C) buy a call on that stock. D) sel...
Issuer correct answers Any person who issues or proposes to issue any security. Mostly businesses or government entity. Security (Determined by the Howey Case) correct answers 1. The investment of money 2. In a common enterprise (Pooling) 3. With an expectation of profits 4. Results solely ...
Voorbeeld 2 van de 9 pagina's
In winkelwagenIssuer correct answers Any person who issues or proposes to issue any security. Mostly businesses or government entity. Security (Determined by the Howey Case) correct answers 1. The investment of money 2. In a common enterprise (Pooling) 3. With an expectation of profits 4. Results solely ...
Which of the following is TRUE of a business cycle pattern? I. the pattern is impacted by Gross Domestic Product (GDP) II. just prior to a trough, the economy is in an expansionary phase III. depression is defined as GDP declining for at least eight consecutive quarters IV. recession is define...
Voorbeeld 3 van de 22 pagina's
In winkelwagenWhich of the following is TRUE of a business cycle pattern? I. the pattern is impacted by Gross Domestic Product (GDP) II. just prior to a trough, the economy is in an expansionary phase III. depression is defined as GDP declining for at least eight consecutive quarters IV. recession is define...
Under what form of ownership may a husband and wife ensure that their property is not able to be attached by the creditors of either spouse? A. Tenants in common B. A qualified domestic partnership order C. Tenancy by the entirety D. Joint tenants with right of survivorship correct answers C. ...
Voorbeeld 3 van de 25 pagina's
In winkelwagenUnder what form of ownership may a husband and wife ensure that their property is not able to be attached by the creditors of either spouse? A. Tenants in common B. A qualified domestic partnership order C. Tenancy by the entirety D. Joint tenants with right of survivorship correct answers C. ...
Which of the following actions by an agent would be an unethical practice under the NASAA Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents? A) Recommending securities that result in major losses in the customer's account B) Telling a customer that th...
Voorbeeld 4 van de 38 pagina's
In winkelwagenWhich of the following actions by an agent would be an unethical practice under the NASAA Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents? A) Recommending securities that result in major losses in the customer's account B) Telling a customer that th...
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