STC- Series 65 -Final Exam 2025 With
100% Correct Answers
IA only need to retain advertisements that are sent to ______ or more people. - CORRECT
ANSWER✔✔Ten
The administrator's order may be appealed if the person files a petition in state court within
_____ - CORRECT ANSWER✔✔60 days
define asset allocation - CORRECT ANSWER✔✔Permits managers to change investment
strategies and vehicles, based on changing makers/economic conditions
Define Retail Communication - CORRECT ANSWER✔✔Communication being sent to 25 retail
investors
What must be addressed by a firms business continuity plan? - CORRECT
ANSWER✔✔Communication with the sec and sipc
What it mean when a IA attempts to index a profit file? - CORRECT ANSWER✔✔Build a portfolio
that will mirror or match the performance of a index
According to NASAA's prohibited Conduct IAs, IARs, and federal covered IA, Model Rule, publicly
distributed, written materials are defined as any written materials distrust to: - CORRECT
ANSWER✔✔35 or more persons who pay for the materials
Who enacts fiscal policy - CORRECT ANSWER✔✔Congress
100% Correct Answers
IA only need to retain advertisements that are sent to ______ or more people. - CORRECT
ANSWER✔✔Ten
The administrator's order may be appealed if the person files a petition in state court within
_____ - CORRECT ANSWER✔✔60 days
define asset allocation - CORRECT ANSWER✔✔Permits managers to change investment
strategies and vehicles, based on changing makers/economic conditions
Define Retail Communication - CORRECT ANSWER✔✔Communication being sent to 25 retail
investors
What must be addressed by a firms business continuity plan? - CORRECT
ANSWER✔✔Communication with the sec and sipc
What it mean when a IA attempts to index a profit file? - CORRECT ANSWER✔✔Build a portfolio
that will mirror or match the performance of a index
According to NASAA's prohibited Conduct IAs, IARs, and federal covered IA, Model Rule, publicly
distributed, written materials are defined as any written materials distrust to: - CORRECT
ANSWER✔✔35 or more persons who pay for the materials
Who enacts fiscal policy - CORRECT ANSWER✔✔Congress
