Series 65 flashcards

Question 1

Cash Flow =

Answer 1

Revenues - All monies paid out

Question 2

10-Q is a company’s:

Answer 2

Quarterly audited report filed with the SEC

Question 3

10-K is a acompany’s:

Answer 3

Annual Financial Report

Question 4

An ‘unqualified’ 10-K report means:

Answer 4

That the auditor agrees with the company’s report
The opinion of the auditor

Question 5

A ‘qualified’ 10-K is:

Answer 5

A company’s annual report that the auditor does not agree on some things in the report

Question 6

T or F: Auditor fees must be disclosed on a company’s 10-K

Question 7

13D and 13G reports:

Question 8

A company’s long form for reporting 5% share ownership is the:

Question 9

How long does a company have in order to file form 13D once >5% ownership occurs?

Question 10

13G must be filed:

Question 11

Who is allowed to use form 13G?

Question 12

Who must file form 13F?

Question 13

Form 13F, used by Investment Advisors to report that they have discretion over $100M+ AUM, must be filed:

Question 14

Net Working Capital =

Question 15

Quick Ratio =

Question 16

Current Yield =

Question 17

Cash Flow =

Question 18

Debt to Equity Ratio =

Question 19

EPS =

Question 20

Fully Diluted EPS:

Question 21

PE Ratio =

Question 22

Which stocks tend to have higher PE Ratios?

Question 23

What kind of stock typically sees its PE ratio fall when the economy begins to decline?