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Series 65 Sample Questions
Under modern portfolio theory all portfolios should operate:
An individual who is giving advice relating to securities but who is not required to register as an adviser:
A decrease in the available credit in a client's account would follow each of the following, except:
A technical analysis of the market would be based on all of the following, except:
An investment adviser from a neighboring state may direct advice to how many people within the state during a 12 month period and still qualify for the de minimis exemption ?
An economist looking at the consumer price index has noticed that is has been consistently rising over the last four quarters. Which of the following is true?
I. Consumer prices are rising
II. Bond yields are falling
III Bond yields are rising
IV. Bond prices are falling
A blue chip exemption is offered to which of the following ?
Which of the following is the most useful in determining the price volatility of a bond to a significant change in interest rates ?
Regarding cash dividends, which of the following statements is correct?
As it relates to 3 (C)(7) funds which of the following is not true ?