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Series 65 Calculations > Dates > Flashcards

Dates Flashcards

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Series 65 flashcards
1
Q

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

A

48 hours prior to contact

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2
Q

Latest time to delivery IA brochure

A

Entering advisory contract

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3
Q

The 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 Administrator that IA’s net worth is insufficient

A

Send details next business day

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5
Q

Maximum and minimum offering prices and underwriting discount 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 the client

A

3 business days

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7
Q

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

A

3 business days

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8
Q

Filing Form 8-K

A

4 business days

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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 reedem 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 advisor may use oral discretion

A

10 business ays after the 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 From D (priviate placement rule 506)

A

15 days after first sale

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15
Q

Reciept of option account agreement

A

15 days after account approval

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16
Q

Latest date for a Coverdale ESA contribution

A

18th birthday

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17
Q

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

A

20 days

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18
Q

State registration or withdrawl of securities professionals effective

A

30th day

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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 registraion of BD and IAs effective

A

45th day

26
Q

Days after end of each quarter to file Form 13-F

A

40 days45 days

27
Q

Withdrawal of federal covered adviser and 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 $110 million or above, must register with SEC

A

90 days

33
Q

Maximum time a letter of intent can be backdated

A

90 days (3 months)

34
Q

SEC, with notice to US President, can suspend all trading on exchange

A

90 days

35
Q

Maturity f 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 the State(s)

A

180 days

39
Q

Mandatory waiting time to retest (3rd failure)

A

180 days

40
Q

Alternative valuation date for estate taxes

A

6 months

41
Q

Maximum maturity of exempt commercial paper

A

270 days (9 months)

42
Q

PAyment of estate taxes is due

A

9 months after death

43
Q

Maximum maturity of any holding in money market mutual fund

A

397 days

44
Q

Records must be kept easily accessible

A

2 years

45
Q

Time period for most records kept by broker-dealers

A

3 years

46
Q

Time period for investment advisor recordkeeping

A

5 years

Series 65 Calculations (3 decks)

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