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Green Light 66 EXAM | Questions And Answers Latest {2024- 2025} A+ Graded | 100%Verified
The risk-adjusted return of an investment is most closely associated with: - alpha
Which of the following designations are acceptable on a business card?
1)RIA for an investment advisory firm registered with the SEC
2)RIA for an investment advisory firm registered with a state Administrator
3)IAR for an investment adviser representative who has passed the appropriate qualifying exam - None
of the above
Which of the following choices is/are disadvantage(s) of investing in a C Corporation?
1)Shareholders are taxed on dividends received.
2)The corporation is taxed on its income.
3)Shareholders may not deduct their share of the corporation's losses on their personal tax return.
4)Shareholders are paid last if the corporation liquidates. - all
An IAR is comparing the advantages and disadvantages of an S Corporation and a limited partnership for
a client. What is one advantage of investing in an S Corporation that is not found in a limited
partnership?
1)There is unlimited personal liability
2)An S Corporation pays higher dividends
3)An S Corporation allows for an unlimited number of shareholders
4)Investors have more control over management decisions - 4)
Which of the following factors would be the best measure of a bond's volatility? - Duration
A whole life insurance policy would be most appropriate for which of the following individuals?
A 65-year-old man, whose objective is to accumulate enough money to pay for an elaborate funeral
, A 72-year-old grandmother who wants to insure that funds will be available for her grandchildren's
education
A 27-year-old single man who wants to pay the lowest premium for his life insurance
A married 29-year-old woman with a successful career and two small children who is concerned about
their future if she should die before they reach adulthood - 4
Andrew is an agent employed by Mayberry Securities. His client would like to sell some of his shares of
XYZ to his daughter at a price far below the market value of the stock. Andrew agrees to handle the
transaction for a small fee. Which of the following statements is TRUE?
The transaction does not need to be recorded on the books of the broker-dealer, since the price does
not relate to the fair market value of the securities
The transaction does not need to be recorded on the books of the broker-dealer, since the contract was
between family members
The transaction would need to be recorded on the books of the broker-dealer, since Andrew is receiving
compensation
The transaction is fraudulent - The transaction would need to be recorded on the books of the broker-
dealer, since Andrew is receiving compensation
According to the Investment Advisers Act, a notice offering advisory services that appears in a
publication, on radio, or on TV is considered an advertisement if offered to more than: - 1 person
Broker-Dealer X is registered as an investment adviser in State A. Some of Broker-Dealer X's clients are
not advisory clients. Broker-Dealer X would like to sell stock from its own account to a nonadvisory
client. Which of the following statements is TRUE?
Prior to the completion of this transaction, X must notify all its advisory clients that it is acting in a
principal capacity
Prior to the completion of this transaction, X must notify the client that it is acting in a principal capacity
and then obtain the client's written consent
A firm that is dually registered as a broker-dealer and investment adviser must operate under the same
rules for all clients, whether advisory or not
The rule regarding principal transactions by advisers does not apply in this case since X is acting solely as
a broker-dealer and not as an investment adviser - The rule regarding principal transactions by advisers
does not apply in this case since X is acting solely as a broker-dealer and not as an investment adviser
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