Brainscape's Knowledge GenomeTM

Browse over 1 million classes created by top students, professors, publishers, and experts.


See full index

My series 65 > Dates > Flashcards

Dates Flashcards

You may prefer our related Brainscape-certified flashcards:
Series 65 flashcards
1
Q

State IAs deliver initial brochure, or 5-day withdrawal without penalty

A

48 hours prior to contract

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

Latest time to delivery IA brochure

A

Entering advisory contract

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
3
Q

Time limit for execution of a day limit order. Also, time and/or price discretion only good that day

A

Same day

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
4
Q

Notification to Administrator that IA’s net worth is insufficient (send details the following business day)

A

Next business day

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
5
Q

Maximum and minimum offering prices and underwriting discounts on file for coordination

A

2 business days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
6
Q

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

A

3 business days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
7
Q

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

A

3 business days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
8
Q

Filing Form 8K

A

4 business days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
9
Q

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

A

5 business days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
10
Q

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

A

7 days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
11
Q

SECcan summarily suspend trading in a security

A

10 days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
12
Q

Investment advisers may use oral discretion

A

10 business days after first trade

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
13
Q

Hearing must be granted - Summary order

A

15 days after written request

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
14
Q

File Form D (private placement Rule 506)

A

15 days after first sale

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
15
Q

Receipt of options account agreement

A

15 days after account approval

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
16
Q

Latest date for a Coverdell ESA contribution

A

18th birthday

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
17
Q

Cooling off period under Securities Act of 1933. Also minimum time Administrator must have documents for coordination

A

20 days

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
18
Q

State registration or withdrawal of securities professionals effective

A

30th day

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
19
Q

Maximum residency under snowbird exemption

A

30 days

20
Q

Time limit within which rescission offer must be accepted or rejected

A

30 days

21
Q

Mandatory waiting time to retest (first two 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 end of each quarter to file Form 10-Q

A

40 days

25
Q

Federal registration of BDs and IAs effective

A

45th day

26
Q

Days after end of each quarter to file Form 13F

A

45 days

27
Q

Withdrawal of federal covered adviser on ADV-W

A

60th day

28
Q

Time limit to appeal an order under both state and federal law

A

60 days

29
Q

Maximum time for tax-free rollover

A

60 days

30
Q

Maximum 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 $ll0 million or above, must register with SEC

A

90 days

33
Q

Maximum time a letter of intent (LOI) backdated

A

90 days

34
Q

SEC, with notice to U.S. President, can suspend all trading on an exchange

A

90 days

35
Q

Maturity ofT-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 state(s)

A

180 days

39
Q

Mandatory waiting time to retest (third and subsequent failures)

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 accessible

A

2 years

46
Q

Time period for most records kept by broker-dealers

A

3 years

47
Q

Time period for investment adviser recordkeeping

A

5 years

My series 65 (29 decks)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2024 Bold Learning Solutions. Terms and Conditions