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The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam. [3]
The cost of the exam is $40. Individuals are allowed 90 minutes to complete 50 multiple choice questions. The passing score is 70%, and those who fail this exam must wait thirty days before taking it again. In order to be registered with the Series 6, an individual must also pass the Securities Industry Essentials Exam (The SIE Exam).
This summary is based largely on the summary provided by the Congressional Research Service, a public domain source. [1]H.R. 701 would amend the Securities Act of 1933 to set October 31, 2013, as the deadline for the Securities and Exchange Commission (SEC) to add a class of domestic securities to those already exempted from regulation under the Securities Act of 1933.
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The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
There are also gray areas between visa categories, and unanswered questions about how some of the 500,000-plus people that FIFA plans to credential will get clearance to come. Like fans, many will ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
From February 2012 to December 2012, if you bought shares in companies when Robert A. Kotick joined the board, and sold them when he left, you would have a 5.3 percent return on your investment, compared to a 5.0 percent return from the S&P 500.