100% satisfaction guarantee Immediately available after payment Both online and in PDF No strings attached
logo-home
Previously searched by you
Previously searched by you
logo
Series 65 || All Correct. $10.99   Add to cart
Quickly navigate to
Preview
  2.  
  3. Series 65 ||
  4.  
  5. Series 65 ||

Exam (elaborations)

Series 65 || All Correct.
 5 views  0 purchase
  • Course
  • Series 65 ||
  • Institution
  • Series 65 ||

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 obl...

[Show more]

Preview 2 out of 8  pages

Document information

  • September 5, 2024
  • 8
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

Written for

  • Series 65 ||
  • Series 65 ||

Seller

avatar-seller
FullyFocus

Reviews received

Content preview

Series 65 || All Correct.
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 obligation

Buy the put correct answers right to buy

Commercial Paper bonds correct answers are short term 270 days

Statute of limitation correct answers state 3 years, 5k

Federal Statute of limitation correct answers 5y/10k

Class A correct answers Upfront cost, Cheaper expense ratio, some likely to have break points.

Class B correct answers Backend cost, contingent Higher expense ratio, Long term, turns into a
after paying backend cost

Class C correct answers short term, should sale sale charge around 1 %

Rights correct answers intrinsic value & tvm (right & left)

Warrant correct answers tvm, gotta do 1 time sentence

Brady Bonds correct answers International & world banks

Custody correct answers get check 3 days

Register correct answers then cool off 20 days, effective register

CAPM correct answers determines rate of return, uses tvm, describes the risk of a security and
market as a whole, systematic risk =beta

Working capital correct answers bonds

Shareholders equity correct answers dividends, stocks

, Strong correct answers doesn't work because of inside trading (Public and private)

Semi strong correct answers fundamental doesn't work (public)

Weak correct answers technical doesn't work, (past history)

Alpha correct answers is the excess expected return above the benchmark. ( alpha expects return
to beat everyone)

Beta correct answers volatility measure compared to the market (beta always wants to compare
to the market and always change)

Clients / shareholder correct answers quarterly

Company file correct answers annual

Ira, 401k, keogh,qualified plan correct answers deferred compensation

Indenture correct answers Bond Agreement

Cd's correct answers short term

6 Month correct answers Private Fund holding period

Sec correct answers usually double time

State AUM correct answers change and registration (not withdrawal) is 90 days

Sec AUM correct answers change to state is 180 days Record

Record Keeper B/D correct answers 3 years kept and 2 years easily assemble

IA correct answers 5 years kept/ 2 years easily accessible

General Partner correct answers K1, 1065, loss & profits

All state and IA &IRA, Agent, b/d correct answers register and withdrawal is 30 days

Fed both IA & B/d correct answers 45 registration, 60 withdrawal (no federal agent only state)

Networth correct answers Asset - liabilities (positive - negative)

Assets correct answers Liabilities + shareholder equity

Credit correct answers in trading is + (adding to your pile)

The benefits of buying summaries with Stuvia:

Guaranteed quality through customer reviews

Guaranteed quality through customer reviews

Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.

Quick and easy check-out

Quick and easy check-out

You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.

Focus on what matters

Focus on what matters

Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!

Frequently asked questions

What do I get when I buy this document?

You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.

Satisfaction guarantee: how does it work?

Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.

Who am I buying these notes from?

Stuvia is a marketplace, so you are not buying this document from us, but from seller FullyFocus. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $10.99. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

67866 documents were sold in the last 30 days

Founded in 2010, the go-to place to buy study notes for 14 years now

Start selling
$10.99
  • (0)
  Add to cart