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Series 65 > Dates > Flashcards

Dates Flashcards

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Series 65 flashcards
1
Q

State IA’s deliver initial brochure or 5 day withdrawal without penalty

A

48 hours prior to contract

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2
Q

latest time to deliver IA brochure

A

entering advisory contract

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3
Q

time limit for execution of a day limit order

also time and or price discretion only good that day

A

same day

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4
Q

notification to Admin that IA’s net worth is insufficient

A

next business day

send details 2nd business day

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5
Q

max and mind offering prices and underwriting discounts on file for coordination

A

2 business days

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6
Q

securities or funds received by non custody IA must be returned to client

A

3 business days

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7
Q

3rd party checks received by non custody IA must be forwarded to 3rd party (USA only)

A

3 business days

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8
Q

filing form 8-K

A

4 business days

news worthy events to SEC

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9
Q

penalty free cancelation of IA contract if brochure not delivered at least 48 hours in advance (USA only)

A

5 business days

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10
Q

time limit for open end investment company (mutual fund) to redeem shares

A

7 days

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11
Q

SEC can summarily suspend trading in a security

A

10 days

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12
Q

investment advisers may use oral discretion

A

10 business days after first trade

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13
Q

hearing must be granted - summary order

A

15 days after written request

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14
Q

file form D (private placement rule 506)

A

15 days after first sale

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15
Q

receipt of options account agreement

A

15 days after account approval

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16
Q

latest date for a cover dell ESA contribution

A

18th bday

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17
Q

cooling off period under securities act of 1933.

also minimum time admin must have documents for coordination

A

20 days

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18
Q

state registration or withdrawal of securities professionals effective

A

30th day

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19
Q

maximum residency under snowbird exemption

A

30 days

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20
Q

time limit within which rescission offer must be accepted or rejected

A

30 days

21
Q

mandatory waiting time to retest (first 2 failures)

A

30 days

22
Q

wash sale rule

A

30 days

23
Q

new issues eligible for margin once owned this long

A

30 days

24
Q

days after each end of quarter to file 10-W

A

40 days

quarterly end report of publicly traded companies

25
Q

federal registration of BDs and IA effective

A

45th day

26
Q

days after end of each quarter to file form 13F

A

45 days

investors

13F - big dogs, institutional. quarterly report

27
Q

withdrawal of fed covered advisor on ADV - W

A

60th day

28
Q

time limit to appeal an order under both state and fed law

A

60 days

29
Q

max time for tax free rollover

A

60 days

30
Q

max termination clause with mutual fund adviser

A

60 days

31
Q

after end of fiscal year, IA must file annual updating amendment

A

90 days

32
Q

State IA with AUM at $110 million or above, must register with SEC

A

90 days

33
Q

max time a letter of intent can be backdated

A

90 days

34
Q

SEC with notice to US president can suspend all trading on an exchange

A

90 days

35
Q

maturity of T bill most commonly used as risk free rate

A

91 days

36
Q

annual delivery of adviser brochure to clients (if material changes)

A

120 days

37
Q

time limit for an IA who expects to reach the required AUM to register with the SEC

A

120 days

38
Q

SEC IA with AUM below 90 million must register with states

A

180 days

39
Q

mandatory time to retest (after 3rd fail)

A

180 days

40
Q

alternative valuation date for estate taxes

A

6 months

41
Q

maximum maturity of exempt commercial paper

A

9 months (270 days)

42
Q

payment of estate taxes is due

A

9 months after death

43
Q

maximum time to complete a letter of intent

A

13 months

44
Q

maximum maturity of any holding in money market mutual fund

A

397 days

45
Q

records must be kept easily and accesible

A

2 years

46
Q

time period for most records kept by broker dealers

A

3 years

47
Q

time period for investment adviser record keeping

A

5 years

48
Q

10k

A

annual report. 60-90 days end of fiscal year

Series 65 (5 decks)

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