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Series 65 || All Correct.
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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...

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

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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)

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