Series 66 Study Questions
differences between static and interactive content on social media - ✔✔only static content needs
pre-approval
only interactive content can be commented on by others
Under the uniform securit
...
Series 66 Study Questions
differences between static and interactive content on social media - ✔✔only static content needs
pre-approval
only interactive content can be commented on by others
Under the uniform securities act, the administrator is required to provide which of the following
in a disciplinary proceeding?
I. Appropriate prior notice
II. Opportunity for a hearing
III. written findings of fact and conclusion of law - ✔✔I, II, and III.
A registered IA recommends a stock that will be sold to an advisory client in a principal
transaction. The broker-dealer that will sell the stock is also registered as an investment adviser
and employs the IA as an agent. This transaction:
A. requires both written disclosure to and the consent of the client prior to completion of the
transaction
B. is prohibited
C. requires the consent of the client
D. requires written disclosure of the client - ✔✔A. ; under normal circumstances when the a BD
acts as a principal in a trade, the face it noted on the confirmation. However, in this case, because
it is an IA who is recommending the transaction, both written disclosure by the adviser and
consent by the client are required prior to completion of the transaction.
Which of the following investment analysis tools can be used most efficiently to predict the
probability of outcomes of portfolio performance recognizing that variables such as holding
periods and rates of return are generally uncertain - ✔✔Monte Carlo analysis. This analysis uses
simulations to predict the probability of portfolio performances in light of multiple and uncertain
variable conditions
What do technical analysis, fundamental analysis and the efficient market hypothesis focus on? -
✔✔Technical analysis = price patterns
Fundamental analysis: economic, industry, and business conditions
efficient market hypothesis: argues that analysis itself has little, if any, value
Life insurance companies offer many different products. Which of the following would NOT be
considered a security
I. index annuity
II. modified endowment
III. Variable annuity
IV. Varible life - ✔✔I & II. Any insurance product that includes the world variable, is a security.
advantages of using the partnership form of business organization include - ✔✔Ease of
dissolution.
Partnerships are easy to form and dissolve. They are NOT practical for raising large sums of
capital as are corporations. General partners have full personal liability and partnership
agreements specify events that will lead to the termination of the entity
in the formula for determining the real rate of return, the: - ✔✔Real rate of return represents
inflation-adjusted compounding (or discounting). the inflation rate is subtracted from the
investment return
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