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Series 65 Uniform Investment Adviser Law Exam 2024 – 2025 Series 65 Laws and Regulations Exam Review Questions and Answers | 100% Pass Guaranteed | Graded A+ | $14.99
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  5. Series 65 Uniform Investment Adviser Law

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Series 65 Uniform Investment Adviser Law Exam 2024 – 2025 Series 65 Laws and Regulations Exam Review Questions and Answers | 100% Pass Guaranteed | Graded A+ |
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Series 65 Uniform Investment Adviser Law Exam 2024 – 2025 Series 65 Laws and Regulations Exam Review Questions and Answers | 100% Pass Guaranteed | Graded A+ |

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  • October 17, 2024
  • 27
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • series 65 laws and regulations exam review questio
  • series 65 uniform investment adviser law exam 2024
  • series 65 uniform investment adviser law exam

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Series 65 Uniform Investment Adviser Law
University of Georgia
Exam 2024Athens,– 2025 Series
Georgia65 Laws and
Regulations Exam Review Questions and
Series |65
Answers (Uniform
100% Investment
Pass Adviser| Law
Guaranteed Exam)A+ |
Graded
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.
6. This test has a time limit, The test will save and submit
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: -

Questions about the USA are a state law - Answer>>
Uniform Securities Act

Federal Act that addressed registration of investment
advisers. State law CANNOT override federal laws -
Answer>> National Securities Markets Improvement Act

Under the Uniform Securities Act (USA) a _____ is
defined as an individual or legal entity that either
trades or issues securities - Answer>> person

The following are NOT the definition of a person: -
Answer>> -deceased individuals
-persons who are declared mentally incompetent
(certificate of incompetence within 60 days)
-minors

Examples of what constitutes as a person are: -
Answer>> a natural person, corporation, partnership,
association, joint venture/stock company, estate,
business trust, unincorporated organization,
government or governmental body

A _____ is a type of estate where a court-appointed
guardian takes control of an incapacitated individual's
financial, real estate and other monetary affairs -
Answer>> conservatorship

An ____ ____ is a firm that is paid a fee to advise others,
either directly or indirectly - Answer>> investment
adviser
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, Professionals that are EXEMPT from registering as
Investment Advisors (LATE) - Answer>> lawyers,
accountants, teachers, engineers

What act was passed in order to eliminate the dual
registration of investment advisers at both the federal
and state levels. Before this act, dual registration was
required. - Answer>> National Securities Markets
Improvement Act of 1996

Based on AUM, the Act imposes the following
registration requirements for advisers:
-If less than $ ____ register only at the ____ level
-Between $___ and $____, advisers are permitted, but
not required to register with the ___
-If at least $____, must register with the _____ - Answer>>
100 million - state
100 million -110 million, SEC
110 million, SEC

Although federal advisers do not register with the state,
they may be required to notify each state in which they
conduct business and pay a state filling fee (may
require the adviser to sign a 'consent to service of
process') This is called - Answer>> notice filing

The SEC registration process requires filing of _______
(Adviser) this has two parts - Answer>> Form ADV

Part 1 of form ADV pertains to: - Answer>> general info
about the adviser (name, address, type of business
org.) and if the adviser has been sanctioned for
violating securities regulations or laws. Asks questions


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