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FINRA Series 65 Practice Exam & Test Questions - FAQ


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Why should I use Exam Edge to prepare for the Series 65 Uniform Registered Investment Adviser Law Exam Exam?


FAQ's for Exam Edge Series 65 Uniform Registered Investment Adviser Law Exam practice tests

We have ten great reasons why Exam Edge is the #1 source on the internet when it comes to preparing for Series 65 Uniform Registered Investment Adviser Law Exam test:

  • Comprehensive content: Exam Edge's Series 65 Uniform Registered Investment Adviser Law Exam practice tests are created specifically to prepare you for the real exam. All our Series 65 RIA practice test questions parallel the topics covered on the real test. The topics themselves are covered in the same proportions as the real test too, based on outlines provided by the Financial Industry Regulatory Authority in their Series 65 RIA test guidelines.

  • Realistic practice: Our Series 65 RIA practice exams are designed to help familiarize you with the real test. With the same time limits as the real exam, our practice tests enable you to practice your pacing and time management ahead of test day.

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What score do I need to pass the Series 65 RIA Exam?

To pass the Series 65 Uniform Registered Investment Adviser Law Exam test you need a score of 72.

The range of possible scores is 0 to 100.

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We have a team of professional writers that create our Series 65 Uniform Registered Investment Adviser Law Exam practice test questions based on the official test breakdown provided by the Financial Industry Regulatory Authority. We continually update our practice exams to keep them in sync with the most current version of the actual certification exam, so you can be certain that your preparations are both relevant and comprehensive.

Do you offer practice tests for other Financial Industry Regulatory Authority subjects?

Yes! We offer practice tests for 5 different exam subjects, and there are 35 unique exams utilizing 3300 practice exam questions. Every subject has a free sample practice test you can try too!
Series 6 Invest Company Variable Contracts Exam (Series6 ) Practice Tests
Series 63 Uniform Securities Agent State Law Exam (Series63) Practice Tests
Series 65 RIA (Series65) Practice Tests
Series 66 NASAA Uniform Combined State Law Examination (Series66) Practice Tests
Series 7 General Securities Representative Exam (Series7 ) Practice Tests

To order tests, or take a sample test, for a different subject: Click on ' Name on the Exam Name' You will be take to the orders page

How do I register for the real Financial Industry Regulatory Authority?

For up-to-date information about registration for the Financial Industry Regulatory Authority, refer to the Financial Industry Regulatory Authority website.


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

A situation in which a professional or firm acting in its own interest or in the interest of another party may be detrimental to a client is considered which of the following?





Correct Answer:
conflict of interest


the correct answer to the question is "conflict of interest." a conflict of interest occurs when a professional or a firm has competing interests or loyalties. the conflict arises because the professional or firm is involved in multiple interests, one of which could possibly corrupt the motivation or decision-making of that individual or organization.

for example, if a financial advisor is recommending an investment product that will earn them a higher commission, but there are other products that would be more beneficial to the client, this situation would be a conflict of interest. the advisor's personal gain conflicts with the duty to act in the best interests of the client.

it is essential that any potential conflicts of interest be disclosed to the client. this transparency allows the client to make informed decisions about whether to continue with the service, taking into account the professional's divided loyalties. full disclosure also helps to safeguard the trust between the client and the professional or firm, and upholds the integrity of the professional field.

conflicts of interest are different from fraud, insider trading, and market manipulation, although they can sometimes be related. fraud involves intentional deception to secure unfair or unlawful gain. insider trading refers to buying or selling a publicly-traded company’s stock by someone who has non-public, material information about that stock. market manipulation involves actions designed to deceive or mislead investors by artificially affecting the supply or demand for a security.

in summary, a situation in which a professional or firm's actions in their own interest or in the interest of another party could potentially harm a client is considered a conflict of interest. recognizing and managing conflicts of interest is crucial in maintaining ethical standards and trust in professional relationships.

The risk of default inherent in debt securities is which type of risk?





Correct Answer:
credit risk


the correct answer to the question, "the risk of default inherent in debt securities is which type of risk?" is credit risk. credit risk, also known as default risk, refers to the possibility that a borrower will fail to meet their obligations in accordance with agreed terms. this type of risk is particularly relevant when dealing with debt securities, such as bonds.

debt securities are financial instruments that represent money borrowed by an issuer, typically a corporation or government entity, which needs to be repaid over time with interest. the holders of these securities are essentially lenders or creditors, and the issuers are the borrowers. when an investor purchases a debt security, they are exposed to the risk that the issuer might be unable to make timely payments of interest or principal. this inability to pay as agreed constitutes a default, which can result in financial losses for the investor.

credit risk is assessed based on the creditworthiness of the issuer, which can be influenced by various factors including economic conditions, political stability, and the particular financial situation of the issuer. credit ratings, provided by agencies like moody's, standard & poor's, and fitch, are commonly used to gauge the credit risk associated with different issuers and their debt securities. a lower credit rating indicates higher credit risk, implying a greater risk of default.

it is important for investors to consider credit risk when choosing to invest in debt securities. the potential return on these investments typically correlates with the level of risk; higher risks are often associated with higher potential returns. investors must balance their desire for higher returns with their tolerance for risk, including the possibility of losing their investment in the event of a default.

other types of risks associated with debt securities include interest rate risk, reinvestment risk, and political risk. however, these do not directly relate to the risk of the issuer defaulting on payments. interest rate risk involves changes in the value of debt securities due to fluctuations in interest rates. reinvestment risk concerns the risk that cash flows from an investment will be reinvested at a lower rate than the original rate. political risk pertains to the financial impact of political instability or changes in government policy. among these, credit risk is uniquely concerned with the likelihood of the issuer failing to fulfill its financial obligations.