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Series66 - NASD Series 66 - Braindumps Information

Vendor : Business-Tests
Exam Code : Series66
Exam Name : NASD Series 66
Questions and Answers : 251 Q & A
Updated On : January 18, 2018
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Series66 Questions and Answers

Series66


Answer: A


Explanation:

While the administrator may issue a cease and desist order, because the administrator is not a court officer, he or she can't enforce compliance with that order. The administrator’s next

step is to bring action in a court that has jurisdiction over Titanic and to request a permanent or temporary injunction or restraining order.


QUESTION: 245

BigTop Brokerage wants to register in the state of Ohio. Under the Uniform Securities Act,

which of the following requirements must BigTop satisfy?


  1. Verify the marital status of all partners in the business

  2. Maintain at least a minimum amount of net capital

  3. Maintain a minimum liquid net worth of $500,000

  4. Assure the administrator that it intends to open a minimum of 40 new accounts in the state within the first year


Answer: B


Explanation:

A state administrator may require a broker-dealer registrant to maintain a minimum amount

of net capital; the amount will be specified by the administrator


QUESTION: 246

Which of the following securities are considered exempt securities under the Uniform Securities Act?

  1. Microsoft Corporation

  2. The Knights of Columbus

  3. U.S. Treasuries

  4. Corporate debt securities trading over the counter vs Securities issued by

Spokane, Washington

  1. Securities issued by London, Ontario

  2. Debt securities issued by Northwestern Mutual Insurance

  3. A bond issued by Illinois Light & Power


  1. I, III, V and VIII

  2. I, II, III, V, VI, VII, VIII

  3. II, III and IV

  4. II only


Answer: B


Explanation:

Microsoft is listed on the NYSE and would receive the blue-chip exemption. The Knights

of Columbus is a non-profit fraternal organization and is also exempt. All securities guaranteed by the U.S. government are exempt. Securities issued by a U.S. or Canadian municipality are exempt. Debt securities issued by an insurance company are considered exempt. A bond issued by a public utility is exempt since it is specifically and otherwise regulated. Corporate debt securities trading over the counter would NOT qualify for the blue-chip exemption because they do not trade on a national exchange


QUESTION: 247

Under the Uniform Securities Act, which of the following is NOT considered a security?


  1. Treasury stock

  2. Stock options

  3. Variable annuity

  4. Life insurance


Answer: D


Explanation:

Under the Uniform Securities Act, all options define a security, with the exception of life

insurance


QUESTION: 248

Under the Uniform Securities Act, a state administrator may allow an investment advisor the authority to trade in a client account, but the advisor may not be allowed to remove client funds and securities from the account. This is known as:


  1. Absolute option

  2. Consent to process

  3. Consent to authority


Answer: D


Explanation:

Investment advisors often have their clients open accounts at a broker-dealer so that the advisor does not have to go through the process of obtaining state approval in order to take

custody of client funds and securities. The advisor will then receive discretionary authority from the client in order to trade in the account on their behalf. The discretionary authority

received is typically "limited discretion" whereby the advisor may transact in the account but is not allowed to remove funds or securities from the account


QUESTION: 249

The maximum penalty for the criminal violation of a state securities law is:


  1. $10,000 fine, five years in prison, or both

  2. $5,000 fine, three years in prison, or both

  3. $10,000 fine

  4. $5,000 fine


Answer: B


Explanation:

Under the Uniform Securities Act, a criminal violation exists if the person willfully violates

a provision of the Act. The maximum penalty for each violation is a $5,000 fine, three years in prison, or both. If the person proves that he or she had no prior knowledge of the provision violated, there will be no prison sentence imposed. The state administrator does not have the authority to impose criminal penalties - the courts in each state take these actions


QUESTION: 250

Which of the following is true regarding the Investment Advisor''s Act of 1940 as it pertains to anti-fraud provisions:


  1. A company that meets the definition of an investment advisor but does not have to register due to an exemption is subject to the anti-fraud provisions of the Act

  2. The state Administrator is responsible for registering all fraudulent investment advisors who fall under the federal definition


  3. A company that is accused of committing fraud and is exonerated of all charges is then required to register with the SEC

  4. A company that meets the defintion of an investment advisor and is registered at the federal level is not subject to the anti-fraud provisions of the Act


Answer: B


Explanation:

If a company is exempt from federal registration, it still is subject to the anti-fraud

provisions - no matter what the exemption - anti-fraud rules apply to all investment advisor at either the state or federal level


QUESTION: 251

Heatprod Investment Advisors is opening a new account for Mrs Mathers, but the firm does

not want to be responsible for custody of her securities. To keep her as a customer, they try an alternate solution. Mrs Mathers will open an account at a local broker-dealer and then give written discretionary authority to Heatprod. This will allow Heatprod to execute transactions in her broker account. Is this legal?


  1. Possibly, unless Mrs Mathers offers the broker reciprocal advantages

  2. No, it is strictly prohibited for a broker-dealer and investment advisor to cross transact

  3. Mrs Mathers could face charges if caught

  4. Yes, investment advisors often do this


Answer: D


Explanation:

This is a perfectly legal and common solution to the challenge. Under the Uniform

Securities Act, investment advisors may keep custody of client funds and securities. However, in order to do so, the advisory firm must obtain approval from the state administrator first. In order to avoid going through the administrator, the advisor may obtain written discretionary authority to trade in the client's account at the broker-dealer. The client funds or securities are held at the broker-dealer for a fee, and everyone is satisfied


Business-Tests Series66 Exam (NASD Series 66) Detailed Information

Series 66 Exam: Uniform Combined State Law
An exam administered by the North American Securities Administrators Association (NASAA). Successful completion of the Series 66 exam is equivalent to the successful completion of both the Series 63 and Series 65 exams. It is required by certain states in America, (in addition to successful completion of the Series 7) in order for an investment professional to qualify for registration as an Investment Advisor Representative and as a securities agent representing a broker dealer.
Series 66 Online Study Guide Book Icon
Series 66 Online Study Guide
Pass the Series 66 Exam and become a registered investment advisor representative with our Free Online Study Guide - Click Here
Try Our Series 66 Quizzer
Start Your Series 66 Exam
EXAM DETAILS
Time Limit: 2 hours and 30 minutes
Cost: $145
Number of Questions: 100, plus 10 "pre-test" questions
Passing Score: 75%
Format: Multiple Choice
Prerequisites: Successful completion of the Series 7 must occur before registration for the Series 66 exam.
Exam Date(s): Any day of the week, excluding Sundays
Exam Locations: Find an exam center in your state here. Complete information about your appropriate testing center, admittance requirements and exam administration will be included with the enrollment confirmation form mailed to you.
1. Quantitative Methods
2. Measuring Portfolio Returns
3. Analyzing Your Client's Financial Profile
4. Special Issues for Retirement Plans
5. Portfolio Risks
6. Portfolio Management Strategies, Styles and Techniques
7. Foundation for Regulatory Issues
8. Regulation of Investment Advisors and Investment Advisor Representatives
9. Regulation of Broker-dealers
10. Regulation of Sales Representatives (Agents)
6.1 Introduction
6.2 Asset Allocation and Strategic vs. Tactical Asset Allocation
6.3 Diversification
6.4 Portfolio Styles: Active vs. Passive
Series 66

00:07
01:23
What is the 'Series 66'
Series 66 is an exam administered by the Financial Industry Regulatory Authority (FINRA). Successful completion of the Series 66 exam is equivalent to successful completion of both the Series 63 and Series 65 exams. The Series 66, also known as the North American Securities Administrators Association (NASAA) Uniform Combined State Law Examination, was created to qualify candidates as both securities agents and investment advisor representatives.
BREAKING DOWN 'Series 66'
The FINRA Series 7 exam must also be passed along with the Series 66. Either exam may be passed first, but both exams must be completed before applying to register with any particular state. The Series 66 was designed to cover topics deemed necessary to provide investment advice.
Series 66 Exam Structure
The Series 66 examination contents include 100 multiple-choice questions that are scored and 10 pretest questions that are not scored. Candidates have a maximum time of 150 minutes to complete the examination. To obtain a passing score, a candidate must correctly answer 75 of the 100 questions that are scored. The exam administrator provides electronic calculators for candidates to use, and these are the only calculators allowed in the exam room. A dry-erase marker and whiteboard are provided. No study or reference materials of any kind are permitted in the examination room, and there are harsh penalties for anyone caught cheating or attempting to cheat. An individual's employer can register a candidate for the exam by filing either a Form U4 or Form U-10 and paying the $155 examination fee.
Series 66 Exam Content
The NASAA updates information on the exam's content and posts it online. As of May 2016, the exam questions are allocated as follows:
• Economic factors and business information (5%) - This section includes questions on financial reporting (such as financial ratios, SEC filings and annual reports), quantitative methods (such as internal rate of return and net present value), and types of risk (such as market, interest rate, inflation, political, liquidity and other risks).
• Investment vehicle characteristics (15%) - Questions in this section include, but are not limited to: methods used to value fixed-income securities, types and characteristics of derivative securities, alternative investments, and insurance-based products.
• Client investment recommendations and strategies (30%) - Questions in this section include, but are not limited to: types of clients (including individuals, business, trusts and estates), client profiling (including financial goals, current financial status and risk tolerance), capital market theory, portfolio management strategies, tax considerations, retirement planning, trading accounts, and performance measurement.
• Laws, regulations and guidelines, including prohibition on unethical business practices (50%) - This section includes state and federal securities acts along with related rules and regulations, ethical practices, and fiduciary obligations.
Series 66 - Uniform Combined State Law Examination
The Series 66 exam — the NASAA Uniform Combined State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.
The exam consists of 100 scored questions. Candidates have 150 minutes to complete the exam. In order for a candidate to pass the Series 66 Exam, he/she must correctly answer at least 73 of the 100 scored questions.
There is no prerequisite for the Series 66 examination. However, the Series 7 examination is a co-requisite to the Series 66 Examination.
For additional information about this exam, including the content outline, please visit the exams page on the NASAA website.
Series 66 Study Guide
The Uniform Combined State Law Examination was developed by NASAA based on industry requests. The examination (also called the “Series 66”) is designed to qualify candidates as both securities agents and investment adviser representatives. The exam covers topics that have been determined to be necessary to provide investment advice and effect securities transactions for clients. The examination consists of 100 multiple-choice questions and 10 pretest questions. Applicants are allowed 150 minutes to complete the examination.
The examination is conducted as a closed-book test. Upon completion of the examination, the score for each section and the overall test score will immediately be made available to the candidate.
The examination is administered by the FINRA. The fee for taking the examination is $155. To schedule a candidate for examination, a firm should file an electronic Form U4 or an individual should file a Form U-10 and pay the fee.
Once registered, FINRA will open a 120-day window within which an individual may schedule the exam. Form U10 and more information on sites to take the exams can be found on the FINRA website.
The questions in the examination, the weighing of the composite examination, the examination study outline, and the method by which the examination is administered have been designed by Chauncey Group International for NASAA and approved by NASAA and the Competency Exam Project Group. In addition, each examination question is statistically analyzed to insure reliability.
Any attempt to compromise the examination may serve to destroy its validity and usefulness. Therefore, NASAA intends to bring appropriate action against persons who attempt to compromise the examination in whole or in part. In addition, such conduct may subject a candidate to further action by state administrators.
Successful completion of the Uniform Combined State Law Examination does not relieve a candidate of the personal responsibility to know and to abide by the specific requirements of the securities laws and regulations of the states in which the candidate transacts business. Furthermore, although successful completion of the examination may satisfy a portion of the requirements of a particular state, it does not convey the right to transact business prior to being granted a license or registration by that state. NASAA believes that the Uniform Combined State Law Examination will significantly benefit the industry and state regulators alike by such uniformity. The investing public will be afforded a greater degree of protection through enhanced uniform qualification standards.
Please note, the FINRA Series 7 is a corequisite exam that needs to be successfully completed in addition to the Series 66 exam before a candidate can apply to register with a state. You may take either exam first but must complete both satisfactorily.
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