Series 65 Uniform Investment Adviser Law
University of Georgia
Exam 2024 – 2025 SeriesGeorgia
Athens, 65 Uniform Investment
Advisor Law Exam Review with Correct Answers
Series
| 100%65 (Uniform Investment Adviser
Pass Guaranteed Law A+
| Graded Exam)
|
Series 65 Exam
Course Title and Number: Series 65 Exam
Exam Title: Series 65 Exam
Exam Date: Exam 2024- 2025
Instructor: [Insert Instructor’s Name]
Student Name: [Insert Student’s Name]
Student ID: [Insert Student ID]
Examination
180 minutes
Instructions:
1. Read each question carefully.
2. Answer all questions.
3. Use the provided answer sheet to mark your responses.
4. Ensure all answers are final before submitting the exam.
5. Please answer each question below and click Submit when you
have completed the Exam.
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automatically when the time expires
7. This is Exam which will assess your knowledge on the course
Learning Resources.
Good Luck!
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,Read All Instructions Carefully and Answer All the
Questions Correctly Good Luck: -
Definition of Security - Answer>> 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? - Answer>> 1. Stock
2. Bond
3. Debenture
4. Right or warrant
5. Note
6. Put, call, straddles, privileges on securities or other
option
7.Limited Partnership interest
8. Certificate of interest in a profit-sharing agreement
9.Treasury Stock
10. Evidence of indebtedness
11. Collateral Trust certificates
12. Pre-organization certificates or subscriptions
13. Transferable shares
14. Investment Contracts
15. Voting trust certificates
16. Certificate of deposit for a security
17. Certificate of interest or participation in an oil, gas,
or mining title or lease
What is Not a Security - Answer>> 1. Collectibles
2. Commodities such as precious metals, and grains,
including future contracts
3. Condos used as a personal residence
4. Currency
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,5. Interest in a retirement plan such as an IRA or Keogh
plan
6. An insurance or endowment policy or fixed annuity
contract
Prospectus - Answer>> Any notice, circular, letter or
communication, written or broadcast by radio or
television that offers any security for sale or confirms
the sale of a security
Exempted Securities under the Securities Act of 1933 -
Answer>> 1. Any security issued or guaranteed by the
US, any state, or any political subdivision of a state (all
fed gov issues and muni securities)
2. Any commercial paper that has a maturity at the
time of issuance of no more than 270 days
3. Any security organized and operating for religious,
educational, benevolent, fraternal or charitable
purposes
4. Any interest in railroad company trust
5. Any security issued by federal or state bank (DOES
NOT INCLUDE BANK HOLDING COMPANIES)
Rule 147 - Answer>> Exempt under federal law but not
under the Uniform Securities Act so will probably have
to register with the state
Rule 147 Issue: Any security offered and sold only to
persons resident within a single state where the issuer
of such security is a person resident and doing business
within such a territory.
80/80/80 rule
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, Exempted Transactions under the Securities Act of
1933 - Answer>> Transactions by any person other than
the issuer underwriter, or dealer and
Transactions by an issuer that do not involve a public
offering
Registration Statement with the SEC for IPO - Answer>>
Signed by CEO, CFO, and the majority of the board of
directors
Contains the following infromation
1. Purpose of issue
2. Public offering price
3. Underwriter's commissions or discounts
4. Promotion expenses
5. Expected use of the net proceeds of the issue to the
company
6. Balance Sheet
7. Earnings statement for the last 3 years
8. Names, bios of officer, directors, underwriters and
stockholders who own more than 10% of the
outstanding shares
9. Copy of underwriting agrrement
10. Copies of article of incorporation
The Cooling Off Period - Answer>> Registration can be
effective as early as 20 calendar days after the SEC has
received the registration statement
In this time period, no one can solicit sales but
indication of interest can be solicited with a red herring
SEC Regulation D Rule 506 Private Placement -
Answer>> 506(b) - no advertisement but can have 35
non-accredited investors and unlimited accredited
investors
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