Series 65 Uniform Investment Adviser Law
University of Georgia
Exam 2024Athens,– 2025 Series
Georgia65 Laws and
Regulations Exam Review Questions and
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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
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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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