Auction firm study guide - Study guides, Class notes & Summaries
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Series 65 Exam Study Guide with Complete Solutions
- Exam (elaborations) • 52 pages • 2024
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Series 65 Exam Study Guide with 
Complete Solutions 
1. Investment Advisory Representative (IAR) - Answer️️ -1. Upon passing the series 
65 the agent may represent an registered investment adviser (RIA) and receive fee 
based compensation. The fee based compensation may be based on a percentage of 
the assets under management or as an hourly or flat fee for providing a personalized 
financial plan. There are no prerequisites for taking the series 65 exam and the 
candidate does not need to b...
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D076 Unit 2: Overview of Finance
- Exam (elaborations) • 15 pages • 2024
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Accounting - The system of recording, reporting, and summarizing past financial information and 
transactions. 
Agency Costs - Costs that are incurred when management does not act in the best interest of 
shareholders; related to the maximization of shareholder value; firms mitigate some of these costs is by 
attempting to align managers' interests with shareholders' interests and compensate with shares in the 
company 
Agency Problem - When the agent (the management) does not act in the best ...
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