Series 65 Practice Exam 6


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1. As measured by the consumer price index, inflation in Year 1 was 3.5%. In Year 2, inflation was 2.5%. This change in inflation from Year 1 to Year 2 is best described as:

2. A Treasury bill pays interest:

3. If a FINRA member has filed for bankruptcy within the last 10 years, this could lead to:

4. A partner, officer, director, or other individual associated with an investment adviser who gives advice regarding securities is known as a(n):

5. Which one of the following would be considered a security?

6. Raymond created a revocable living trust, naming his daughter as the sole beneficiary. He transferred the title to his home as well as a brokerage account to the trust. Which one of the following statements is correct regarding this arrangement?

7. Which one of the following investments is considered a permitted investment in a traditional IRA?

8. With respect to business continuity planning, FINRA rules require a firm to disclose to its customers:

9. Which of the following exchanges of insurance products may result in income taxation?

10. Which one of the following represents a type of debt issued by a national government in a foreign currency in order to finance the issuing country’s growth?