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The post Financial Planning Certification Exam Lesson Podcast: A new Podcast Introduction appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz
Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz is covering the Annuities information you need to understand for the Series 65 Exam
Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz
1. Which of the following is true about the Securities Exchange Act of 1934?
2. Which of the following is contained in a 10-K? (Select all that apply.)
3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission.
4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding.
5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934?
6. Under ___, margins are regulated from brokers to their customers.
7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders.
8. It is a totally anonymous matching of buy and sell orders.
9. Which of the following are/were physical exchanges?
10. Which of the following is true about penny stocks?
11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___.
12. It is trading on nonpublic material information on the company.
13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934.
14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery.
15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___.
16. Anybody that has nonpublic material information on the company is considered an insider.
17. In the United Sates, they are exempted from the rules that prohibit insider trading.
18. Insiders can trade on the material nonpublic information once the information has been made public.
19. Only the Securities and Exchange Commission can sue insider traders.
20. The statute of limitation for insider trading is ___.
We hope you did well on this Quiz
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Free Audio Lesson 8 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative.
The other possible exam would be the series 66 examination.
What is the Series 65 Exam?
The Series 65 Exam
The Series 65 is another path to becoming an Investment Advisor Representative (IAR)
Sometimes called the IAR in a box
Unlike the Series 66 Exam the Series 65 exam does not have the Series 7 Requirement
The Series 65 unlike broker-dealer exams (think the Series 7 Exam) the Series 65 Exam requires no company sponsor.
When taking the Series 65 to join an RIA firm as a IAR, candidates must complete the exam within 180 minutes. A passing score is 72%, which translates to correctly answering 94 of the 130 scored questions. The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. But this is a TOUGH exam, many people do not pass on the first try.
The test covers financial industry regulation, securities law, ethics, investments and economics. All these topics factor into a financial advisor’s day-to-day work. Most candidates devote considerable time to studying for the Series 65.
Different States have different requirements in become an Investment Advisor Representative (IAR) so check your states department of securities licensing to find out its requirements.
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Free Audio Lesson 8 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Quiz Mutual Funds 2
This is a Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2: a free quiz for Series 65 Exam Quiz Mutual Funds 2 which is covering mutual funds pt 2 . Try it and see how you do if you need help listen the lesson over.
Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2 covering more fundamentals of mutual funds you need to understand for the Series 65 Exam
Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2
1. Which of the following is true about closed-end funds?
2. Which of the following details can be found on the website of the company that sponsors a closed-end fund?
3. It is the amount annually collected from the shareholders, which include all the operating cost of the fund.
4. If a closed-end fund has a very high expense ratio, one reason you might wish to buy the fund is because ___.
5. In financial industry, “Red Herring” refers to ___.
6. Which of the following is true about a preliminary prospectus?
7. One way that funds will get a higher return than the market average or a bigger loss than the market average is by leveraging their assets.
8. A fund is leveraged at 9.2%. If it has $80,000,000 in its assets, the portfolio would reflect a value of ___.
9. Leveraged funds enhance returns and outperform the market when stocks are going down.
10. A mutual fund or a management company must distribute their income ___.
11. A management company distributes its income in a form of ___.
12. These are capital gains that the management company must distribute at least on an annual basis.
A. capital yield
13. Dividend yield is the dividend that is paid out from the stocks that the management company owns and then passed through to the investors.
14. If you buy a closed-end fund before or close to the record date, your net asset value would decline by the amount of the distribution.
15. What would be a good reason for management companies to organize as master limited partnerships?
16. It is a tax document of a master limited partnership.
17. Why would a management company organize as a closed-end fund instead of an open-end fund?
18. A mutual fund held in another mutual fund would have double management fees.
19. The management fees of closed end funds ___.
20. Why would hedge funds acquire a big position in closed-end funds?
A. so that they can avoid the double taxation
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Quiz Mutual Funds 3
This is a Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3: a free quiz for Series 65 Exam Quiz Mutual Funds 3 which is covering mutual funds pt 3 . Try it and see how you do if you need help listen the lesson over.
Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3 covering more fundamentals of mutual funds you need to understand for the Series 65 Exam
Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3
1. Which of the following is true about hedge funds?
2. What is the minimum capital for a hedge fund?
3. Which of the following is qualified as an accredited investor according to the Securities Act of 1933?
4. A business is qualified to be an accredited investor if all its equity owners are accredited investors.
5. A natural person can be an accredited investor if that person ___.
6. The performance of a hedge fund is always better than the market.
7. Which of the following strategies does a hedge fund employ?
8. A mutual fund’s annual and semiannual report has an income statement similar to a regular corporate income statement.
9. Which of the following can be found in a mutual fund’s income statement?
10. Which of the following is true about expense ratio?
11. If you’re buying a fund at a very big discount but has a very high expense ratio, the discount you’re buying those stocks may disappear.
12. An investment company should distribute at least ___ of its income in order to be regulated under the Investment Company Act of 1940.
13. If an investment company is not regulated under the Investment Company Act of 1940, ___.
14. Investment companies can pass through capital gains ___.
15. An investor buying a mutual fund at the end of the year will not be paying taxes if he has not made any money in the fund.
16. It is a type of mutual fund having a portfolio that is constructed to mimic the market index.
17. These funds are traded as regular stocks on the stock exchange, but move throughout the day.
18. As an investor in a fund or in a management company, you have the right to ___.
19. In an investment company, ___ of the directors must be non-interested.
20. In a dollar cost averaging, when the price of the stock goes up, ___.
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Lesson 29 Annuities Quiz
Series 65 Exam Lesson 29 Annuities Quiz is covering the Annuities information you need to understand for the Series 65 Exam
Series 65 Exam Lesson 29 Annuities Quiz
1. It is a contract wherein the buyer make payments and after some time, the insurance company will make a series of payments back to the buyer.
2. Which of the following is NOT true regarding the selling of an annuity contract?
3. The earnings on the accumulated funds in an annuity grow tax-deferred.
4. Annuity contracts are sold by investment advisors.
5. Insurance company accounting is quite different from generally accepted accounting principles.
6. Which is the correct formula for a combined ratio?
7. An insurance company had an insurance losses of $10 million, expenses of $3.5 million, and an earned premium of $9 million. What is the combined ratio?
8. An insurance company is paying out more money than it earns when the combined ratio is ___.
9. Which of the following is true about a long tail business?
10. In a variable annuity, the insurance company guarantees the annuitant a specific rate of return on his investment over a certain period of time.
11. In a fixed annuity, if interest rates are low, the offer of the insurance company would be ___.
12. In calculating how much a life annuity is going to pay an annuitant, an insurance company takes into consideration the annuitant’s ___.
13. It is an annuity wherein a beneficiary could still receive the monthly payments even if the owner of the annuity has already died.
14. Which of the following is true about joint and last survivor annuity? (Select all that apply.)
15. In a unit refund life annuity, if the annuitant and the beneficiary dies before receiving the total investment back, the annuitant’s estate gets a refund of ___.
16. Which of the following is true in an annuity that pays for a specified period of time?
17. In a variable annuity, which of the following is allowed as a choice of investment?
18. The rate of return on a variable annuity product is determined by ___.
19. With installments for a designated amount in a variable annuity, the annuitant receives a specific dollar amount until the principal expires.
20. Which of the following is true about a combined fixed and variable annuity?
We hope you did well on this Series 65 Exam Lesson 29 Annuities Quiz
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson 29 Annuities Quiz appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Lesson 28 Unit Investment Trust
Series 65 Exam Lesson 28 Unit Investment Trust Quiz is covering the Unit Investment Trust information you need to understand for the Series 65 Exam
Series 65 Exam Lesson 28 Unit Investment Trust Quiz
1. It is a specific portfolio of bonds that is self-liquidating.
2. The unit investment trust is regulated by the Investment Company Act of 1940.
3. What is the implication of a unit investment trust being self-liquidating?
4. Which of the following is true about a unit investment trust which invests in fixed income investments?
5. A fixed income unit investment trust differs from an open-end mutual fund in such a way that ___.
6. A unit investment trust does not expand nor contract in size once issued.
7. Unit investment trusts can invest in ___.
8. The shares of beneficial interest in a unit investment trust can be redeemed prior to maturity.
9. A unit investment trust that invests in a master limited partnership will receive a ___ at the end of the year.
10. A trust invests in a closed-end fund. The fund’s net asset value is $28.74. It currently trades at $29.03. What is the percentage of the premium?
11. It is a unit investment trust used to fund variable annuities.
12. In a fixed income unit investment trust, if any of the bonds in the fund default, the principal that the investor would be getting back would ___.
13. A unit investment trust that invests in US government bonds that is held in maturity is NOT subject to ___.
14. What is the advantage of buying a unit investment trust that strictly invests in a master limited partnership (compared with a unit investment trust that invests in closed-end funds that invest in the same master limited partnership)?
15. These are risk-free investments.
16. When a unit investment trust closes, the investor can ___.
17. Rolling over into the next unit investment trust is a non-taxable event.
18. It is taking the proportion of the securities held in the trust when the unit investment trust closes.
19. The intention to receive in-kind distribution when the unit investment trust closes must be made known to the trust at least ___ days before the termination of the trust.
20. A large enough position is required before an investor can opt to receive in-kind distribution when the unit investment trust closes.
We hope you did well on this Series 65 Exam Lesson 28 Unit Investment Trust Quiz
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson 28 Unit Investment Trust Quiz appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
S
This is an interview with Whistleblower Attorney Mark Pugsley while this is not information that is required for the Series 7 Exam I think you will be a more knowledgeable advisor if you are aware of the information contained in this interview.
Mark Pugsley is quite famous for his part in bringing down Milton Trevor of Nikola corporation. He was featured prominently in the podcast BAD BETS
This is information about Mark Pugsley from his website
“Mark Pugsley has been handling securities disputes, financial fraud and whistleblower cases for 28 years. His whistleblower practice includes preparing and filing whistleblower tips with the Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC) and the Internal Revenue Service (IRS), he also handles False Claims Act or “Qui Tam” lawsuits, FINRA arbitrations and other types of investment disputes.
Mark is based in our Utah office, the state which boasts the largest number of Ponzi schemes per capita in the country. He has been recognized by Super Lawyers, Best Lawyers, Benchmark Plaintiffs, and Martindale Hubbell as one of the top securities lawyers in the country. He is licensed to practice law in Utah and California.
Mark represents whistleblowers in a number of high-profile ongoing cases, including the whistleblowers in the Washakie Renewable Energy scam in which executives pleaded guilty to criminal charges in a $1 billion biodiesel tax fraud scheme. He also represents the whistleblowers in the Nikola Motors case who uncovered widespread fraud by the CEO, Trevor Milton. The whistleblower report to the SEC in the Nikola case led to a $125 million settlement by the company with the SEC, and Mr. Milton was charged civilly and criminally with securities fraud, among other charges. Another of his whistleblower clients uncovered an ongoing $200 million Ponzi scheme that led to civil and criminal actions by the DOJ, SEC and State regulators. These cases are ongoing.
Significant recoveries for his whistleblower, investment fraud and FINRA Arbitration clients include the following:
In addition to his whistleblower practice, Mark has been litigating securities disputes for his entire legal career. He has also handled many FINRA arbitration cases and frequently goes to court to pursue claims for victims of fraud.
Prior to founding the law firm of Pugsley & Wood, Mark was a shareholder at the law firm of Ray Quinney & Nebeker in Salt Lake City, where he worked for 23 years. Mark is a recognized expert in the area of securities fraud and has written and spoken extensively on whistleblower law, Ponzi schemes and affinity fraud for many years…..”
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson Supplement Interview with Whistleblower Atty. Mark Pugsley 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Lesson 55 Securities Act of 1933 Quiz
Series 65 Exam Lesson 55 Securities Act of 1933 Quiz 2024 is covering the Annuities information you need to understand for the Series 65 Exam
Series 65 Exam Lesson 55 Securities Act of 1933 Quiz
1. Which of the following is true about the Securities Exchange Act of 1934?
2. Which of the following is contained in a 10-K? (Select all that apply.)
3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission.
4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding.
5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934?
6. Under ___, margins are regulated from brokers to their customers.
7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders.
8. It is a totally anonymous matching of buy and sell orders.
9. Which of the following are/were physical exchanges?
10. Which of the following is true about penny stocks?
11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___.
12. It is trading on nonpublic material information on the company.
13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934.
14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery.
15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___.
16. Anybody that has nonpublic material information on the company is considered an insider.
17. In the United Sates, they are exempted from the rules that prohibit insider trading.
18. Insiders can trade on the material nonpublic information once the information has been made public.
19. Only the Securities and Exchange Commission can sue insider traders.
20. The statute of limitation for insider trading is ___.
We hope you did well on this Series 65 Exam Lesson 55 Securities Act of 1933 Quiz
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
https://www.series7podcast.com
https://series66podcast.com
https://series65podcast.com
https://www.series7podcast.com
https://series6lessons.com
https://series22podcast.com
https://insuranceexampodcast.com
https://www.siepodcast.com
https://series79podcast.com
https://insuranceexampodcast.com
https://www.reexampodcast.com/
The post Series 65 Exam Lesson 55 Securities Act of 1933 Quiz 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz
Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz is covering the Annuities information you need to understand for the Series 65 Exam
Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz
1. Which of the following is true about the Securities Exchange Act of 1934?
2. Which of the following is contained in a 10-K? (Select all that apply.)
3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission.
4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding.
5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934?
6. Under ___, margins are regulated from brokers to their customers.
7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders.
8. It is a totally anonymous matching of buy and sell orders.
9. Which of the following are/were physical exchanges?
10. Which of the following is true about penny stocks?
11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___.
12. It is trading on nonpublic material information on the company.
13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934.
14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery.
15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___.
16. Anybody that has nonpublic material information on the company is considered an insider.
17. In the United Sates, they are exempted from the rules that prohibit insider trading.
18. Insiders can trade on the material nonpublic information once the information has been made public.
19. Only the Securities and Exchange Commission can sue insider traders.
20. The statute of limitation for insider trading is ___.
We hope you did well on this Quiz
The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products.
Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared!
The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam.
Our other website s for FINRA and other certification Exams include:
https://www.siepodcast.com
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The post Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
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