Series 65 Playlist [ Ссылка ]
Math for Questions 104, 105, 112, 113, and 128 found in this description
1. D. Tools of the Fed
2. B. Business cycle
3. A. Business cycle
4. C. Inflation
5. D. borrowing cost
6. A. Real rate of return
7. B. Balance sheet
8. C. Assets
9. A. Working capital
10. B. Dividend payout ratio
11. A. Head and shoulders charting pattern
12. B. Present value will not have to calculate just be able to recognize formula
13. C. Mode
14. B.
Conservative investor wants least amount of volatility. The higher the standard deviation the higher the volatility. GRW has the amount variance from its mean and therefore be LEAST appropriate.
15. A. Systematic risk
16. C. Business risk
17. D. Rising interest rates
18. A. Bullet bond strategy
19. C. Liquidity risk
20. A. Money market
21. C. CDs
22. D. Treasury securities
23. B. TIPs
24. D. GNMA
25. C. Conversion ratio
26. A. Municipal bonds
27. D. Liquidation priority. Senior securities and junior securities
28. C. Credit ratings
29. B. Bond at a premium
30. A. YTM
31. C. Common stock
32. A. Preferred stock
33. B. Convertible preferred stock
34. D. Emerging markets
35. B. Incentive Stock Option
36. D. Defensive Industry
37. B. Economic indicators
38. A. Closed end fund
39. D. Calculating NAV
40. C. UITs
41. B. REITs
42. A. ETFs
43. D. Inverse relationship of bonds and interest rates
44. B. In the money option
45. A. Hedge fund
46. D. Limited partnership
47. C. Variable annuities
48. B. Equity Index Annuities reset
49. A. Variable annuity
50. C. Annuity payout
51. D. Investment Advisor Act of 1940
52. A. Release 1092
53. C. Act of 40
54. A. IA state registration
55. A. IAR
56. C. Place of business
57. A. IAR
58. D. IAR termination
59. D. Principal
60. B. Dealers
61. C. Broker
62. C. Issuers
63. B. Agent
64. C. Municipal dealer
65. D. Registration as an agent
66. D. Employee of the issuer
67. B. Definition of a security
68. A. Nonexempt transactions
69. C. Secondary transaction
70. B. Primary transactions
71. D. Administrator's order
72. A. Registration of a security
73. B. Broker/dealer net capital
74. A. Summary order
75. B. State covered advisor
76. A. Act of '33
77. C. Passive versus active management
78. D. Opportunity cost
79. A. IAR
80. C. Fees for investment advisory
81. A. Soft dollar compensation
82. B. Soft dollar compensation
83. C. Fee deduction
84. A. Discretionary trading
85. B. Fiduciary
86. C. ERISA
87. C. Suitability
88. A. USA
89. B. Insider trading
90. B. Fictitious accounts
91. B. Individual account
92. C. General partner
93. A. Limited partner
94. A. Pass through business structures
95. D. Financial profile
96. D. Non-financial considerations
97. B. Risk tolerance
98. C. Life insurance
99. B. Modern Portfolio Theory
100. D. Efficient portfolio
101. C. Efficient market hypothesis
102. C. Valuation ratios
103. B. Strategic asset allocation
104. A.
Initial portfolio $80,000
55% Equity, $44,000/45% Debt, $36,000
Portfolio increased to $105,000
66% Equity, $69,000/34% debt, $36,000
Target portfolio after rebalancing $105,000
55% equity, $58,000/45% debt, $47,000
Equities $69,000-$58,000=$11,000
105. C.
Original total asset value of the portfolio $150,000
stocks $110,000/remaining $40,000 in debt
stock portion increases to $135,000
$135,000-$110,000=$25,000 stock increase
constant dollar goal of $11,000 must sell off $25,00 in stock gains and reinvest in debt
$40,000 in debt + $25,000 = $65,000 in debt
Adjusted total value is $175,000
stocks $110,000/ remaining $65,000 in debt
106. A. Active portfolio management
107. C. Growth manager
108. D. Correlation
109. B. Dollar Cost Averaging (DCA)
110. C. Progressive taxes
111. A. Marginal tax rate
112. D.
stock sales proceeds - cost basis = capital gain
$8,925 - $7,290 =$1635
113. B.
$12,755,000- 1,697,671 (funeral expenses and debt) = 11,057,329
114. C. Funding an IRA
115. D. Roth IRA
116. A. 403b
117. B. Uniform Prudent Investors Act
118. B. ERISA
119. C. ERISA
120. A. Coverdell
121. C. Advertisements'
122. A. College Savings plan
123. D. 529
124. C. Limit orders
125. B. OTC market
126. Quote STUPID!!
127. Real rates of return
128. A.
(.37X9%) + (.24X17%) + (.55X12%) =
3.33% + 4.08% + 6.6% = 14.01%
129. C. IRR
130. YTM in relationship to CY

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