Series 65 Uniform Investment Adviser Law
University of Georgia
Exam 2024 – 2025 Series
Athens, 65 - NASAA Uniform
Georgia
Investment Advisor Law Exam Quiz Study Guide
Series
| 100%65 (Uniform Investment Adviser
Pass Guaranteed Law A+
| Graded 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
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.
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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: -
Investment advisor - Answer>> Defined by federal and
state securities laws. A person that performs the
functions of an investment adviser, as the term is
defined in the Uniform Securities Act or the Investment
Advisers Acto of 1940 or more fully described in
Securities and Exchange Commission ( SEC) Release IA-
1092.
Any person who, for compensation, engages in the
business of advising other, either directly or through
publications or writings, as to the value of securities or
as to the advisability of investing in, purchasing, or
selling securities, or who, for compensation and as a
part of a regular business, Issues or promulgates
analysis or reports concerning securities.
The Uniform securities act of 1956 (USA) - Answer>> In
1956 the original Uniform Securities Act was drafted as
model legislation for the separate states to adopt. As a
model legislation, the USA is not actual legislation; the
USA is a template or guide that each state uses in
drafting its securities legislation. The securities laws of
most states follow the USA very closely, and in many
cases, almost exactly.
The term state - Answer>> means any of the 50 states,
any territory or possession of the US ( such as
American Samoa, Guam, and the Virgin Islands, District
of Columbia and Puerto Rico
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, North American Securities Administrators Association
( NASAA) - Answer>> The advisory body of state
securities regulators responsible for the content of the
exam.
Administrator - Answer>> Refers to the office or agency
that has the complete responsibility for administering
the securities laws of the state. Therefore, the
Administrator has jurisdiction over almost all securities
activity that emanates from his state as well as that
received in his state. and has jurisdiction over the
registration of securities professionals and securities.
He has the power to make rules and issue orders. He
can dny, suspend, or revoke registrations. Very
powerful person.
Person ( as defined in the Uniform Securities Act) -
Answer>> means an individual, a natural person, a
corporation, a partnership, an association, a joint-stock
company, a trust where the interests of the
beneficiaries are evidenced by a security, an
unincorporated organization, a government or a
political subdivision of a government. basically, anyone
that can open an account.
Non persons - Answer>> a minor, a deceased individual
and an individual declared mentally incompetent by the
courts.
Investment advisor- three prong test - Answer>> 1- gives
advice to others on securities 2- does so as part of a
regular business activity; and 3 receives compensation
for performing this activity.
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