Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Answer true or false.

1. True or false. Partners, officers, and directors of an investment adviser are required to register as IARs only if they regularly give investment advice.

2. True or false. IARs who work for federal covered investment advisers register at the federal level.

3. True or false. IARs are not subject to net capital requirements.

4. True or false. IARs are subject to most of the same post-registration requirements as the firms for which they work.

5. True or false. IARs, in some cases, are responsible for notifying a state administrator in the case of their termination.

Answers

1. False. Par

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