Series 65 Practice 3
Series 65 Practice Quiz
Test your knowledge and skills with our comprehensive Series 65 Practice Quiz, designed for aspiring investment advisers. With 12 challenging questions, you'll gain a deeper understanding of key concepts that are crucial for your certification.
Key Features:
- 12 Multiple Choice Questions
- Detailed explanations available for answers
- Track your progress and performance
All of the following professionals qualify for an exemption to registration as an IA provided their advice is not an integral component of their practice except
Lawyer
Accountant
Teacher
Economist
All of the following are excluded from the definition of “investment adviser” except
Bank
Bank holding company
Financial planner
Broker-dealer who provides advice on securities without compensation
For every 1% change in interest rates, a bond rises or falls by 10%. Therefore, the duration is
20%
-10
10
15
An investor needs to have $90,000 available to fund her daughter’s education in 7 years. Which of the following should the investment representative discuss with the client?
Future Value
Present Value
Sharpe Ratio
Complexity
All of the following measure volatility except
Sharpe Ratio
Standard Deviation
Net Present Value
Beta
Which of the following investment selection approaches would most likely be an analysis of a company’s net margin?
Efficient Market Theory
Value Investing
Modern Portfolio Theory
Technical Analysis
Which of the following Sharpe ratios indicates that the investor has been fairly compensated for the risk taken?
1
2
.35
.50
In 2001, an investor purchased common stock at $10 per share. Three years later, the stock trades at $13 per share. What is the investor’s holding period
15%
30%
10%
-5%
If common stock appreciates 3% over a 3-month period, the annualized rate of return is?
3%
12%
43.75%
.5%
A corporation is discounting cash flows from a proposed call center to determine the attractiveness of the project. The corporation is calculating
Future Value
Present Value
Net Present Value
Beta
When calculating the Sharpe Ratio an investment’s return is compared to the riskless rate of return before dividing by the standard deviation. The riskless rate of return is
Theoretical
The return on 6-month T-bills
The return on 3- month T-bills
The return on large cap stock with low volatility
An aggressive growth investor is least likely affected by
Market risk
Business Risk
Purchasing Power Risk
Regulatory Risk
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