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FINRA Series 65 Practice Exam & Test Questions - Why Exam Edge


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Benefits of Exam Edge Series 65 Uniform Registered Investment Adviser Law Exam Practice Tests & Test Prep

Exams like the Series 65 Uniform Registered Investment Adviser Law Exam exam do not just measure what you know -- they also test how well you perform under pressure. The right type of test preparation helps you familiarize yourself with both the material you are being tested on and the format of the test itself. Our practice tests, exam flashcards, and other test prep resources are carefully crafted to replicate the experience of taking the Series 65 RIA exam to make you maximally prepared for the demands of test day.

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All in all, the most effective study plan involves regular practice-testing to exercise your recall skills, practicing your time management, and increasing your focus and test-taking stamina. Invest your study time in our Series 65 Uniform Registered Investment Adviser Law Exam practice exams and walk into test day confident, and ready to demonstrate your skills.

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How to Use the Series 65 RIA Practice Test

Our practice tests offer the ultimate flexibility to study whenever, wherever, and however you choose. We offer three modes to engage with your Series 65 Uniform Registered Investment Adviser Law Exam practice exam:

  1. Timed Mode: Take a practice test in the timed mode to mimic the experience you will have on test day.

  2. Untimed Mode: Our untimed practice tests. Use this function to evaluate your knowledge without the added pressure of a ticking timer.

  3. Study Guide Mode: Our unique study guide function shows the in-depth explanations for each practice exam question as you work through the test. Use this version to work through the questions at your own pace and take detailed notes on the answers.
Need to pause while taking one of our practice tests? No problem! Whichever mode you use, you can pause and resume it at your leisure. When you continue the test, you will pick up exactly where you left off. If you are taking a timed practice test, you will have the same amount of time left to work through the remaining Series 65 RIA practice exam questions once you resume.

Once you have completed a practice exam, you will have permanent access to that exam's review page which includes a detailed explanation for each practice test question. Are you confused by a particular question on the practice test you just completed? Simply come back to it after you have completed it and get a detailed explanation of what the correct answer is and why.

Unlike other study tools, practice exams offer the unique benefit of helping you chart your progress and improvement. Start your Series 65 Uniform Registered Investment Adviser Law Exam exam preparation by taking a practice test to assess your baseline expertise and existing test-taking skills. Then, use your results to identify which topics and skills need the most improvement, and create a study plan that targets those areas. As you study from books, notes, exam flashcards, or other methods, take additional practice tests at regular intervals to evaluate how you retain the information.


Series 65 Uniform Registered Investment Adviser Law Exam - Why Exam Edge Sample Questions

In a diversified investment company at least what percentage of the fund’s total assets must be invested in securities issued by companies other than the investment company itself or its affiliates?





Correct Answer:
75%


in the realm of diversified investment companies, there exists a specific requirement that mandates a substantial portion of the fund's total assets to be invested outside of its own firm or any affiliated entities. this regulation is designed to ensure a broad distribution of investment risks and to prevent over-concentration in any single economic entity, which could potentially lead to significant financial vulnerability. the mandated minimum percentage that must be allocated to external securities is 75%.

this requirement of investing at least 75% of the fund’s assets externally is crucial for maintaining the diversified status of the investment company. it is not only about spreading investments but also ensuring that these are not overly concentrated in any one issuer or economic sector. to further ensure diversification and limit exposure to any single risk, the rule also stipulates that no more than 5% of the total assets of the fund may be invested in securities of any one issuer. additionally, the fund is restricted from owning more than 10% of the outstanding voting securities of any one issuer.

such regulations are integral to the investment strategies of mutual funds and other similar investment vehicles. they help in safeguarding investor interests by reducing the risk associated with the failure of any single investment or issuer. moreover, these diversification rules are a cornerstone in the regulatory framework that governs investment companies, ensuring that they operate within the bounds of financial prudence and maintain the necessary spread of investment risk. this approach not only protects the individual investor but also stabilizes the broader financial market by avoiding excessive concentrations that could lead to systemic risks.

Which of the following is used to tell an investor how many years it will take for the principal of an account to double in value?





Correct Answer:
rule of 72


the correct answer to the question "which of the following is used to tell an investor how many years it will take for the principal of an account to double in value?" is the "rule of 72."

the rule of 72 is a simple mathematical formula that is used to estimate the number of years required to double the invested money at a given annual rate of return. this rule states that you can divide the number 72 by the annual rate of return to determine approximately how many years it will take for the initial investment to double.

for example, if an investment has an annual interest rate of 6%, according to the rule of 72, it would take about 72 / 6 = 12 years for the principal amount to double. this simple calculation provides a quick and easy way to understand the effect of compounding interest over time.

it's important to note that the rule of 72 is an approximation and works best for interest rates between 6% and 10%. the accuracy of the rule decreases outside this range. additionally, the rule assumes that the rate of return remains constant and that the interest compounds annually. real-world variations might lead to different outcomes, but the rule of 72 still offers a useful guideline for investors to make quick comparisons and decisions.

other metrics mentioned such as annualized return, total return, and holding period return, while important in investment analysis, do not specifically provide information about the time it will take for an investment to double. they serve other purposes: annualized return measures the average rate of return per year, total return considers both capital gains and dividends, and holding period return reflects the return on an investment over the period it was held. none of these directly answer the question about the time required to double the principal, making the rule of 72 the best choice for this specific question.