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Series 65 flashcards

Series 65 Exam

This class was created by Brainscape user Justin Bettinger. Visit their profile to learn more about the creator.

By: Justin Bettinger
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Decks in this class (13)

Financial Profile Of A Client
Which statement is true regarding...,
Which of the following statements...,
A customer purchases securities o...
43  cards
Portfolio Management Styles/Techniques
Portfolio management styles are a...,
Which of the diversification fact...,
The use of index funds as an inve...
9  cards
Exam One
Under the provisions of the unifo...,
The board of directors of a compa...,
A registered investment advisor i...
15  cards
Portfolio Management
Portfolio management styles are a...,
Which of the diversification fact...,
The use of index funds as an inve...
29  cards
Retirement Plans
Erisa legislation was enacted a t...,
The person that is least likely t...,
Which of the following are settlo...
21  cards
Uniform Securities Act Business Practices Quiz
An agent has an individual accoun...,
In order for an agent to share in...,
To protect against identity theft...
18  cards
Uniform Securities Act Administrative Procedures Quiz
A customer in montana receives th...,
Actions that are violations of th...,
In most states persons convicted ...
7  cards
Investment Vehicles
Which of the following have an eq...,
What is the claim priority in a l...,
What tax realizations are achieve...
12  cards
Exam 2
A person makes an initial applica...,
Foreign exchange markets a are re...,
A customer buys a tips with a 3 c...
49  cards
Exam 4
A municipality would use general ...,
An investment advisor that has no...,
A customer buys 100 shares of an ...
41  cards
Exam 5
Registration by filing would most...,
Under the securities exchange act...,
A broadly diversified portfolio a...
42  cards
Concept
What is the form 1040 used for,
What is the form 1041 used for,
What is form 1065 used for
3  cards
Exam 6
A customer wishes to open an acco...,
Which of the following is not a b...,
Registration of securities in a s...
35  cards

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Series 65 Exam

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