Series 65 Test - FINRA Practice Exam & Study Guide (35 Must Know Questions) скачать в хорошем качестве

Series 65 Test - FINRA Practice Exam & Study Guide (35 Must Know Questions)

If you’re preparing for the Series 65 and want a focused, high-yield review of investment adviser regulation plus the investing fundamentals that show up again and again, this practice-style walkthrough is built for you. It’s designed for exam candidates who learn best by drilling realistic questions, sharpening definitions, and locking in the rules that drive correct answers under time pressure. Inside, you’ll work through 35 must-know questions covering the Investment Advisers Act of 1940 and Uniform Securities Act essentials, including who qualifies as an Investment Adviser versus an Investment Adviser Representative, state vs. SEC registration triggers, fiduciary duty and prohibited practices like front-running and churning, advisory contract rules, soft-dollar considerations, custody red flags, and Form ADV brochure delivery requirements. You’ll also review core finance and portfolio concepts that commonly appear on the Series 65, such as balance sheet classifications, preferred stock characteristics, bond pricing and yield to maturity, ETFs versus mutual funds and expense ratios, inflation protection with TIPS, options hedging with protective puts, Roth IRA fundamentals, Modern Portfolio Theory, the Sharpe Ratio, asset allocation, IPS components, variable annuity suitability, present value math, and risk-based portfolio strategy decisions. If you’re studying for the Series 65 exam, transitioning into an IAR role, or brushing up on securities regulations as a finance student or professional, watch through and pause to answer each question before the explanation. Subscribe for more Series 65 practice questions and exam-focused study guides, and drop a comment with the questions you missed so you can target your next review session. If this helped you, share it with a study partner who’s also working toward their investment adviser licensing goal. #Series65 #Series65Exam #NASAA #InvestmentAdviser #IAR #InvestmentAdvisersAct #UniformSecuritiesAct #FormADV #FiduciaryDuty #SecuritiesExamPrep #FinanceStudyGuide #PracticeExamQuestions