Series 66 Exam Prep - Practice Test. Hit pause, answer, hit play. скачать в хорошем качестве

Series 66 Exam Prep - Practice Test. Hit pause, answer, hit play.

Series 66 Playlist    • Taking your Series 66 Exam?  FREE Series 6...   1. A. Unsystematic risk 2. C. 20 F 3. B. Quick ratio 4. D. Derivatives 5. D. Futures 6. C. Efficient Market Hypothesis 7. C. Fixed annuity 8. C. Exclusion ratio 9. B. Term insurance 10. A. Options premium 11. D. Limited partners 12. B. S corp 13. D. LLC 14. D. Non financial considerations 15. C. Know your customer 16. C. Capital Asset Pricing Model 17. A. YTM is IRR 18. B. Active management 19. C. Efficient Market Hypothesis 20. D. Dollar Cost Averaging 21. D. Sector rotation 22. A. Gift tax 23. A. UTMA 24. B. Current yield 25. B. Risk adjusted return 26. D. Registration 27. B. Form ADV 28. C. SEC 29. C. All of these offerings are exempt under '33. Verbal errata. I explained correctly but clicked D instead of C. 147 needs be registered under the Uniform Securities Act through Qualification but not registered under '33. Roman Numerals I and II are NOT securities. Roman numeral III is an exempt security. Roman Numeral IV is a safe harbor under 33. RTFA! I read D as all of the above instead of what it read NONE OF THE ABOVE. 30. D. Registration 31. D. Cooling off period 32. A. Accredited Investor 33. A. Reg A and Reg D 34. D. '34 35. C. Form 4 36. C. Insider trading 37. D. Blue sky 38. B. 48 hours with a 5 day free look 39. B. Blue sky 40. D. Retail communication 41. A. Soft dolllars 42. D. Selling away 43. C. Insider trading penalties 44. D. Statute of limitations 45. C. 45 days 46. B. Suspension 47. D. Sharing in customer's account 48. D. Discretionary authority 49. B. Regulation SP 50. B. Loaning money to customers