Series 65 Flashcards: Apply Adviser Registration Rules

Study Apply Adviser Registration Rules in Series 65 with focused flashcards that help you recognize the idea, recall the key rule, and apply it in practice-style prompts.

QUESTION

Identify the regulator for an adviser with AUM of $105$ million that is already SEC-registered and remains eligible to stay.

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ANSWER

The SEC (within the $100$ – $110$ million buffer zone). Buffer zone eligibility allows continued SEC registration for advisers in that AUM range.

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Series 65: Laws, Regulations, and Guidelines

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What this deck covers

This deck focuses on Apply Adviser Registration Rules, giving you a quick way to review the definitions, rules, and examples that matter most for Series 65.

How to use these flashcards

Work through these flashcards in short sessions. Try to answer each prompt before flipping the card, then revisit any cards you miss until the explanation feels automatic.

Practice questions

1 of 47Practice questions for this set

A state-registered investment adviser has custody of client funds and is required to maintain a minimum net worth of $35,000. If the firm's net worth falls to $30,000, what action must the adviser take?

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