Series 65: 1.4.3 Corporate SEC Filings

Taken from our Series 65 Online Guide

1.4.3 Corporate SEC Filings

While many advisers will ultimately work for investment firms with large research departments that do much of their analysis for them, regulators want to make sure you not only can compute some of the most important ratios, but also know where to find the financial information needed to compute them. Regulators believe that there is no excuse for not examining these data, since regulators require companies to make them readily available on a regular basis through filings that can be easily accessed online. Thus, the exam may ask you specifically about some of the main types of filings, when they’re filed, and what will be in them.

Here’s the short list of what you can be expected to know:

Corporate SEC Filings
Filing	Purpose
Prospectus	Filed prior to new security being issued; contains all info about the issuer potential investors need to evaluate, and potential risks and rewards before investing
Annual Report	Provided to shareholders annually to summarize the issuer’s financial operations
Form 10-K	More detailed than annual report; financial reports audited by independent firm; filed with the SEC
Form 10-Q

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 1.4.3 Corporate SEC Filings, you might also be interested in:

Series 63 - Investment Advisers

Series 66 - General vs. Separate Accounts

Series 22 - Forwarding Securities Information and Proxy Materials

Series 24 - 4.2.9.1.1. Member Firm Private Placements

Series 7 - 14.2.6 Partnership Accounts

Series 50 - Position Trading

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the series 65! I used the Solomon exam prep Material to take the series 65. I had previously used the Kaplan material and did not find the materials to be that good. The book, audio tape and exam question bank were amazing. It was hard to go to the center wearing a mask during this Coronavirus time period. I don’t think I would’ve passed this Series 65 without Solomon. Thank you

Gail Abrams, The Investment Center, Inc. Watchung, NJ

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time.

Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

Thank you Solomon Exam Prep!!!!!

Carol Gallagher, TIAA, Syracuse, New York

I used you guys when I sat for the Series 7 two weeks prior and passed that bad boy too. The Solomon books are awesome and allowed me to pass these challenging exams [Series 65 and Series 7] the first time. Highly recommended. Thank you.

Jonathan Freehill, Houston, TX

I passed the Series 65 today. Thanks so much. The Series 65 Exam Simulator and the iPhone app were my only study instruments. I didn't have any other study materials. Granted, I know that you encouraged me to not use the exam simulator as my sole source, but I found your practice tests to be more difficult than the actual exam. I had taken the series 65 in 1994, but it is a different test now. I received an 89%, finished 55 minutes early. I just took your exam simulator tests over and over. Funny thing, I was getting in the 75% range on your exams. Never broke 80%. Great apps! I really appreciate your generosity in extending my subscription to complete my prep. You are a good man. Thank you.

Daniel Q. Humphrey, Financial Guard, Pleasant Grove, Utah

I did so many practice exams with Solomon and never saw one question twice. The quality of study material is thorough, with a touch of humor, and gives it to you in many formats (visual both on the computer or in book format if you wish), as well as audio that you can listen to in the car, as well as the benefit of videos of actual lectures from professors. I felt as though getting the information in all those formats allowed me to really grasp the information using different senses and facilitated the learning process even further.

Stacey Sperry, Durham, NC

I took the Series 65 Exam and passed with a good score. Thank you for all the materials. I did have to put a lot of study time into it but with hard work, your materials and prayer I passed!

Carla Martinez, GoodFuture, Laguna Beach, CA