Series 65 Uniform Investment Adviser Law
University of Georgia
Exam 2024 – 2025 Series
Athens, 65 STC and Uniform
Georgia
Securities Act Review Study Guide | 100% Pass
Series 65Guaranteed
(Uniform Investment Adviser
| Graded A+Law
| 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
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2. Answer all questions.
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,Read All Instructions Carefully and Answer All the
Questions Correctly Good Luck: -
Uniform Securities Act (Blue Sky Laws) - Answer>> -
model law governing state registration statutes for
securities and financial professionals, 1956 version is
what's tested
Broker (CHAPTER 1 - LAWS, REGULATIONS, AND
GUIDELINES OVERVIEW) - Answer>> A firm is acting in
capacity of a broker when it effects securities
transactions on behalf of its clients .In other works, a
broker will locate the other side of the trade
Dealer (CHAPTER 1 - LAWS, REGULATIONS, AND
GUIDELINES OVERVIEW) - Answer>> A dealer stands
ready to take the other side of any transaction - buying
for its own inventory with a markdown or selling from
its own inventory charging a markup
Brokerdealer (CHAPTER 1 - LAWS, REGULATIONS, AND
GUIDELINES OVERVIEW) - Answer>> Sales person of
broker dealers must be registered agents
Investment Advisor (CHAPTER 1 - LAWS, REGULATIONS,
AND GUIDELINES OVERVIEW) - Answer>> 1. Providing
Advice about securities
2. Providing these services as a business
3.Receiving Compensation for these services
Investment advisor representative (CHAPTER 1 - LAWS,
REGULATIONS, AND GUIDELINES OVERVIEW) - Answer>>
Makes recommendations or gives advice regarding
securities
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, Manages accounts or portfolios of clients
Determines which recommendations or what advice
should be given
Solicits, offers, or negotiates the sale of investment
advisory services
Supervises employees who perform any of these
functions
Uniform Securities Act (USA) (CHAPTER 1 - LAWS,
REGULATIONS, AND GUIDELINES OVERVIEW) - Answer>>
Model legislation for securities industry regulation at
the state level. Each state may adopt the legislation in
its entirety or it may adapt it (within limits) to suit its
needs.
Administrator (CHAPTER 1 - LAWS, REGULATIONS, AND
GUIDELINES OVERVIEW) - Answer>> The fundamental
mission of a state securities regulator is to protect the
consumers who purchase securities or pay for
investment advice within the state
North American Securities Administrators Association
(NASAA) (CHAPTER 1 - LAWS, REGULATIONS, AND
GUIDELINES OVERVIEW) - Answer>> s responsible for
updating the Uniform Securities Act as well as
maintaining the content of the Series 65 Examination.
-1919
Securities Act of 1933 ('33 Act) (CHAPTER 1 - LAWS,
REGULATIONS, AND GUIDELINES OVERVIEW) - Answer>>
This federal law requires that certain securities be
registered with the SEC in order to be offered or sold to
the public. When issuers sell securities, these offerings
are often referred to as primary distributions
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