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Series 65 Uniform Registered Investment Adviser Law Exam - Blogs Sample Questions

FINRA will begin an investigation into a complaint against a firm by notifying the member that a complaint has been received and will request the member or an associated person to respond in writing. All requests for information must be met within how many days from the day that the request was made?

Correct Answer:
the correct answer to the question regarding the timeline within which all requests for information must be met by a member or associated person after finra has initiated an investigation is 25 days from the day the request was made. this process begins once finra, following its code of procedure, determines a complaint against a member firm or registered representative to be meritorious and notifies them of the complaint.

finra (financial industry regulatory authority) oversees the operations and compliance of brokerage firms and their agents. part of its regulatory duties includes addressing complaints and suspected violations of the financial regulations it enforces. when a complaint is received, if deemed credible, finra notifies the involved firm or individual, requesting a written response to the allegations. this procedure ensures that the accused parties are informed and given a fair chance to present their side of the story.

the 25-day response period is crucial as it sets a strict timeframe for the member or associated person to gather necessary information and compile a comprehensive response to the complaint or inquiry. this time limit helps expedite the investigative process and ensures that issues are resolved promptly, maintaining the integrity of the financial markets. failure to respond within this window can result in further regulatory actions, emphasizing the importance of adherence to these procedural timelines.

When a registered representative uses a pending dividend payment as the sole basis of a recommendation to purchase a stock it is:

Correct Answer:
dividend selling

when a registered representative uses a pending dividend payment as the sole basis of a recommendation to purchase a stock, this practice is known as "dividend selling." dividend selling is considered a violation of financial regulations and ethical standards within the investment industry.

the term "dividend selling" refers to the strategy whereby a broker emphasizes the upcoming dividend payment of a stock as the primary or sole reason to persuade a client to buy that stock. this can be misleading because it suggests that the dividend payment justifies the purchase, without considering the overall investment merit or the client's financial goals and risk tolerance.

regulatory bodies like the financial industry regulatory authority (finra) and the securities and exchange commission (sec) view dividend selling as problematic because it can mislead investors about the true reasons for buying a security. the implication that the dividend alone makes the stock a worthy investment can result in clients making uninformed financial decisions, which might not align with their investment strategies or objectives.

dividends are payments made by a corporation to its shareholders, usually derived from the company's profits. while dividends can be a sign of a company's financial health and profitability, they should not be the sole factor in deciding whether to invest in a company's stock. other factors, such as the company's overall financial stability, growth prospects, industry position, and the current market conditions, are also crucial.

using the pending dividend as a means to create urgency, suggesting that the investment opportunity might be lost if not acted upon immediately, is particularly deceptive. this tactic can pressure investors into making hasty decisions that may not benefit them in the long run, which is why it is considered a violation.

in conclusion, while dividends are an important aspect of stock valuation and can be a component of investment returns, relying solely on them as a basis for investment recommendations is both misleading and unethical. investors are encouraged to look at a comprehensive analysis of the stock and to consider how it fits within their broader investment goals and risk profile.

Additional Blogs for FINRA - Financial Industry Regulatory Authority dfgdfgdfg

In your journey to get Series 65 Uniform Registered Investment Adviser Law Exam certified it is important for you to have all information related to your exam. So we have pulled together a list of additional blogs that may be of interest to you because that are all related to the Financial Industry Regulatory Authority.

Exam Edge Blogs for FINRA - Financial Industry Regulatory Authority