Investment fiduciary - Study guides, Class notes & Summaries
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CPFA Exam Study Guide
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CPFA Exam Study Guide 
 
Under the DOL regulation, many advisors to retirement plans and their participants will be - 
3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not 
necessarily named in the plan document but who exercise discretionary control over plan 
provisions or plan investments. 
 
The advisor should educate the - plan sponsor about hiring fiduciary service providers, 
including the different roles service providers, including the different ...
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AWMA Practice Exam Questions with All Correct Answers (Already Graded A+)
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AWMA Practice Exam Questions with All Correct Answers (Already Graded A+) 
Which of these choices is NOT a fiduciary duty explicitly required under the CFP Board Practice Standards? 
 
A) Duty to delegate 
B) Duty to follow client instructions 
C) Duty of loyalty 
D) Duty of care - Answer A) Duty to delegate 
 
The three fiduciary duties explicitly stated in the CFP Board Practice Standards are the duty of loyalty, duty of care, and duty to follow client instructions. There is a fiduciary duty ...
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Series 65 || A Verified A+ Pass.
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Dollar cost averaging plans have which of the following features? I. They are voluntary plans. II. They entail purchasing the same number of shares each period. III. Investors are penalized for missing subsequent investment periods. IV. The investor's personal share cost will be lower than the share price over the period. correct answers I & IV 
 
On April 25, a customer buys 100 XYZ at 62.25 and, on the next day, buys one XYZ July 60 put at 1.50. At expiration, XYZ is selling at 68.38. The cus...
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AWMA Module 8 Quiz Questions and Correct Detailed Answers with Rationales (Verified Answers) Already Graded A+
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AWMA Module 8 Quiz Questions and Correct Detailed Answers with Rationales (Verified Answers) Already Graded A+ 
Which is the most important area of concern that was addressed in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010? 
A) 
Fiduciary standard 
B) 
Hedge fund regulation 
C) 
Systemic risk 
D) 
Derivatives trading - Answer C) 
Systemic risk 
 
Concern over systemic risk and the need to maintain a stable financial system is the primary issue that Dodd-Frank addressed....
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AWMA Module 8 Quiz Questions & 100% Correct Answers
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The provision that certain mutual fund policies cannot be changed without 
shareholder approval is addressed in the 
A) Investment Company Act of 1940. 
B) Securities Exchange Act of 1934. 
C) Investment Advisers Act of 1940. 
D) Securities Act of 1933. 
 ~~> A) Investment Company Act of 1940. 
The regulation of mutual funds is covered in the Investment Company Act of 
1940. 
A major responsibility of FINRA is 
A) developing rules and regulations for its members. 
B) establishing rules for...
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024.
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024. 
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade 
allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating 
the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion Correct Answer: B. On a pro rata 
basis but other allocation methods can be used without violating t...
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OHIO LIFE EXAM 11-44 2024 WITH 100% CORRECT ANSWERS
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OHIO LIFE EXAM WITH 100% CORRECT ANSWERS 
 
 
Which of the following would be sufficient violation to warrant rejection, revocation, or suspension of an insurance agent's license? 
1) a moving violation ticket 
2) a denied license in another state 
3) acting as a fiduciary 
4) an unintentional misrepresentation of the terms of a contract - correct answer 2) a denied license in another state 
 
What method do insurers use to protect themselves against catastrophic losses? 
1) pro rata liability...
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CTFA - Practice Exam #1 Questions and Answers 100% Pass
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CTFA - Practice Exam #1 Questions and 
 
Answers 100% Pass 
 
"Constructive Receipt" is normally applicable to the tax treatment of... Non-Qualified 
Deferred Compensation Plans 
 
Non-Qualified Deferred Compensation TCHRA: Compensation that is not immediately 
taxable. It does not qualify under ERISA for tax exemption. Taxation occurs once the individual 
receives the compensation or "property" 
 
A 1035 exchange refers to a tax free exchange of... Annuities 
 
1035 Exchange IRS allows tax-...
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AIF Training UPDATED Actual Exam Questions and CORRECT Answers
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AIF Training UPDATED Actual Exam 
Questions and CORRECT Answers 
In the event of litigation, factors a judge will consider when making a determination of 
fiduciary status include all the following: - CORRECT ANSWER- 1. Number of 
implementation options 
2. Scope of services 
3. Sophistication of client 
Define Fiduciary - CORRECT ANSWER- A fiduciary is someone who: manages 
property for the benefit of another; exercises discretionary authority or control over assets; 
and/or acts in a prof...
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024.
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024. 
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade 
allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating 
the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion Correct Answer: B. On a pro rata 
basis but other allocation methods can be used without violating t...
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