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Series 65 Exam Podcast

Series 65 Exam Podcast

De: Franz Amussen
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Audio Lessons for the FINRA Series 65 Exam©Series65podcast.com All Rights Reserved Economía Educación Exito Profesional Finanzas Personales
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  • Financial Planning Certification Exam Lesson Podcast: A new Podcast Introduction

    Financial Planning Certification Exam Lesson Podcast: A new Podcast Introduction
    Sep 24 2024
    Introduction

    Financial Planning Certification Exam Lessons is our new series of lessons to help in preparing for the Financial Planning Certification Exam. Our new podcast is your ultimate destination for mastering the essential concepts needed to excel in the financial planning certification exam.

    Throughout each engaging episode, our expert hosts delve into a diverse range of topics crucial for mastering the exam. From investment strategies to retirement planning, tax optimization, and estate planning, we cover all facets of financial planning to ensure you have a well-rounded understanding of the field.

    Our commitment to delivering high-quality content is evident in the meticulous attention to detail we put into crafting each lesson. By breaking down complex concepts into easily understandable segments, we strive to make the learning process both enjoyable and effective for our audience.

    At the core of our podcast is a focus on Financial Planning Certification. We understand the importance of repetition and reinforcement in learning, which is why these lessons are seamlessly integrated throughout every episode. By revisiting key principles and concepts multiple times, we aim to solidify your understanding and enhance your retention of critical information.

    Whether you’re a seasoned financial professional looking to expand your expertise or a newcomer preparing to enter the field, “The Financial Planning Lesson Podcast” has something valuable to offer you. Our content is designed to meet the needs of learners at all stages of their financial planning journey, providing actionable insights and practical strategies that can be applied in real-world scenarios.

    Embark on your path to mastery today with “The Financial Planning Lesson Podcast.” Tune in to discover how our targeted lessons can accelerate your progress and empower you to achieve your professional goals. With our guidance and support, you’ll be well-equipped to tackle the exam and unlock exciting opportunities in the dynamic world of financial planning.

    Here is the link to the Financial Planning Certification Exam Lesson website

    The post Financial Planning Certification Exam Lesson Podcast: A new Podcast Introduction appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
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    1 m
  • Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz

    Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz
    Sep 23 2024
    Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz This is a Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz: a free quiz for Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz. Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz is covering the Annuities information you need to understand for the Series 65 Exam Below are questions based on Series 65 Exam Lesson 56 Securities Act of 1933 lesson of the series. Choose the letter of the correct answer. Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz 1. Which of the following is true about the Securities Exchange Act of 1934? (Select all that apply.) A. It applies to exempt securities. B. It determines what fair trading practices are. C. It regulates the secondary trading of securities. D. It was established by the Securities and Exchange Commission. 2. Which of the following is contained in a 10-K? (Select all that apply.) A. balance sheet B. cash flow statement C. compensation of officers D. income statement 3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission. A. True B. False 4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding. A. 10-C B. 13-G C. 15-B D. 8-K 5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934? (Select all that apply.) A. buy back stocks for customers that reneged on their transactions B. electronically deliver clients’ confirmation and statements C. maintain a minimum net capital D. send customers a copy of their income statement 6. Under ___, margins are regulated from brokers to their customers. A. Regulation D B. Regulation M C. Regulation T D. Regulation U 7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders. A. True B. False 8. It is a totally anonymous matching of buy and sell orders. A. alternative trading system B. electronic exchange C. electronics communication network D. physical exchange 9. Which of the following are/were physical exchanges? (Select all that apply.) A. Cincinnati Stock Exchange B. New York Stock Exchange (NYSE) C. Pacific Stock Exchange D. Philadelphia Stock Exchange 10. Which of the following is true about penny stocks? (Select all that apply.) A. They are sold on the over-the-counter bulletin board. B. They are unsolicited orders. C. They are traded on the NASDAQ and other listed exchanges. D. They sell at less than $5. 11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___. (Select all that apply.) A. accredited investor B. client whose order is unsolicited C. insider D. interstate citizen 12. It is trading on nonpublic material information on the company. A. front running B. insider trading C. pegging D. wash trade 13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934. A. Rule 10b-5 B. Rule 127-c C. Rule 144A D. Rule 145 14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery. A. six months B. one year C. two years D. three years 15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___. A. dribble out B. peg the stock C. short against the box D. short sell the stock 16. Anybody that has nonpublic material information on the company is considered an insider. A. True B. False 17. In the United Sates, they are exempted from the rules that prohibit insider trading. (Select all that apply.) A. congressmen B. directors of the company C. officers of the company D. senators 18. Insiders can trade on the material nonpublic information once the information has been made public. A. True B. False 19. Only the Securities and Exchange Commission can sue insider traders. A. True B. False 20. The statute of limitation for insider trading is ___. A. one year B. three years C. five years D. ten years We hope you did well on this Quiz https://traffic.libsyn.com/secure/stockanalystpodcast/Series_65_Quiz_37_Options_Pt_4_01.mp3 Series 65 vs Series 66 Exam The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products. Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully ...
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    12 m
  • Series 65 Exam Free Audio Lesson 8 2024

    Series 65 Exam Free Audio Lesson 8 2024
    Apr 30 2024
    Series 65 Exam Free Audio Lesson 8 2024 Series 65 Exam Free Audio Lesson 8 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becoming an Investment Advisor Representative (IAR) Sometimes called the IAR in a box Unlike the Series 66 Exam the Series 65 exam does not have the Series 7 Requirement The Series 65 unlike broker-dealer exams (think the Series 7 Exam) the Series 65 Exam requires no company sponsor. When taking the Series 65 to join an RIA firm as a IAR, candidates must complete the exam within 180 minutes. A passing score is 72%, which translates to correctly answering 94 of the 130 scored questions. The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. But this is a TOUGH exam, many people do not pass on the first try. The test covers financial industry regulation, securities law, ethics, investments and economics. All these topics factor into a financial advisor’s day-to-day work. Most candidates devote considerable time to studying for the Series 65. Different States have different requirements in become an Investment Advisor Representative (IAR) so check your states department of securities licensing to find out its requirements. Series 65 vs Series 66 Exam The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products. Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared! The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam. Our other website s for FINRA and other certification Exams include: https://www.siepodcast.com https://www.series7podcast.com https://series66podcast.com https://series65podcast.com https://www.series7podcast.com https://series6lessons.com https://series22podcast.com https://insuranceexampodcast.com https://www.siepodcast.com https://series79podcast.com https://insuranceexampodcast.com https://www.reexampodcast.com/ The post Series 65 Exam Free Audio Lesson 8 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.
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    14 m
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With so little content out there about the series 65, this is an amazing little gem to find. Thank you

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