Series 65

NASAA Uniform Investment Advisor Law Exam

Track Title Bookmark Length Download
1 Note From the Publisher 1:02
2 Copyright 0:20
3 Introduction 9:18
4 Chapter One 13:23
5 Interest Rates and the Business Cycle 20:06
6 Fiscal Policy 20:29
7 The Balance Sheet 15:49
8 Debt to Equity 13:43
9 Corporate SEC Filings 19:24
10 Present Value 11:23
11 Risk 20:09
12 Section Two - Investment Vehicles 16:34
13 Right to a Residual Claim During Liquidation 17:43
14 Classes of Preferred Stock 14:02
15 American Depository Receipts (ADRs) 14:50
16 Types of Yields 19:09
17 Secured Bonds 20:39
18 Debt Retirement 20:36
19 Asset-Backed and Mortgage-Backed Securities 18:21
20 Foreign Bonds 14:21
21 Valuing Fixed-Income Secuirites 16:20
22 Discounted Cash Flow Analysis 5:53
23 Chapter Three 18:52
24 Money Market Funds 19:42
25 Management Company Rules 15:03
26 Exchange-Traded Funds (ETFs) 21:08
27 Annuities 16:06
28 Receiving Payment 15:59
29 Life Insurance 13:55
30 Chapter Four 15:27
31 Calculating Gains and Losses 15:36
32 Options Strategies 17:18
33 Benefits and Risks of Derivatives 14:39
34 Commodities 17:35
35 Hedge Funds 18:10
36 Chapter Five 18:47
37 Limited Liability Companies (LLCs) 14:08
38 Trust Accounts 17:08
39 Capital Growth 15:35
40 Current Financial Status 12:48
41 Theories of Portfolio Management 17:50
42 Portfolio Management Styles and Strategies 15:44
43 Dollar Cost Averaging 7:09
44 Chapter Six 18:51
45 Wash Sales 19:16
46 Corporate Trust and Estate Income Tax Fundamentals 18:28
47 Prohibited Transactions 17:47
48 Individual Retirement Accounts (IRAs) 15:54
49 Education Savings Plans 18:18
50 Chapter Seven 15:52
51 National Market System 16:41
52 High-Frequency Trading 15:35
53 Short Positions in Margin Accounts 16:11
54 Averaging Returns 15:23
55 Standard Deviation Range and Correlation 18:35
56 Portfolio Benchmarks 11:51
57 Chapter Eight 18:17
58 Regulation of Investment Advisers 18:48
59 Federal Exclusions from the Definition of Investment Adviser 15:32
60 Regulation of Investment Adviser Representatives 18:18
61 Exemptions from Registration 15:12
62 Agent Registration 16:04
63 Chapter Nine 18:57
64 Notice Filings 14:46
65 Exemptions to Issuer and Security Registration 13:57
66 Authority of the Administrator 13:10
67 Chapter Ten 18:07
68 Code of Ethics and Access Persons 19:04
69 Broker-Dealers Operating within a Bank Setting 14:54
70 Custody 19:10
71 Regulation Best Interest 16:35
72 Sharing Profits and Losses in a Customer Account 17:59
73 Acting as Agent to Both Parties 18:27

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