Series 65 Uniform Investment Adviser Law
University of Georgia
Exam 2024 – 2025 SeriesGeorgia
Athens, 65 Uniform Investment
Advisor Law Exam Questions and Answers |
Series
100% 65Pass
(Uniform Investment Adviser
Guaranteed | GradedLawA+
Exam)
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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
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
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Learning Resources.
Good Luck!
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,Read All Instructions Carefully and Answer All the
Questions Correctly Good Luck: -
If a prospective client wanted to know what type of
investment strategies are employed by an investment
advisor, that information would be found in the
adviser's
A. Form ADV Part 1A
B. Form ADV Part 1B
C. Form ADV Part 2A
C. Form ADV Part 2B - Answer>> C
If an IA registers with the state in November, when
does the registration come up for renewal? - Answer>>
December 31st of that same year
Which of the following would an Adminstrator consider
to be a substantial prepayment of fees?
A. $500 covering the next 6 months
B. $800 covering the entire contract year
C. $800 covering the next calendar quarter
D. $5000 covering the next month - Answer>> B. (NASAA
state law defines a substantial prepayment of fees to
be more than $500, 6 or more months in advance)
Mammon Money Managers(MMM) has its principal office
in State A and is also registered in States B,C, and D.
MMM exercises discretion in client accounts. As a
result, MMM would have to meet the net worth or
bonding requirements of
A. the SEC
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, B. State A
C. the state with the highest requirement
D. each state - Answer>> B. (only state where the
principal office is)
Under the Investment Advisers Act of 1940, all of the
following are true regarding adviser recordkeeping
EXCEPT
A. The IA must keep records of transactions made for
its own account as well as the account of investment
adviser representatives to lessen the likelihood of
scalping
B. computer-generated records may be stored in that
format
C. client account records must be maintained, including
a list of recommendations made
D. records must be maintained for a period of 2 years
from the end of the fiscal year in which the last entry
was made - Answer>> D. (the records must be kept for 5
years)
An investment adviser registered in State G is obligated
to maintain certain books and records as specified by
the Uniform Securities Act. Which of the following
statements regarding adviser recordkeeping is NOT
true?
A. Records originally created on computer may be
stored in electronic media
B. Records are subject to surprise audits by the State G
Administrator
C. Written records may be reduced to microfilm
D. Records must be kept for 6 years - Answer>> D. (5
years not 6 years)
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