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Series 65 Practice Exam 8

Series 65 Practice Exams

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Practice Exam 8

Series 65 Practice Exam 8

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Question 1 of 10

1. Question

Among the most important economic data are the leading indicators. Each of the below fit this category with the exception of:

Corporate profits
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Money supply
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Orders for durable goods
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Building permits/new housing starts
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Question 2 of 10

2. Question

The measurement of inflation is of extreme importance to investors as well as those who advise investors. The most well-known measure of inflation is the CPI, consumer price index, which is measured in:

Inflation-adjusted dollars
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Constant dollars
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Base-year dollars
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Non-inflation adjusted dollars
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Question 3 of 10

3. Question

Many corporations grant stock options to certain individuals. Among the types are Incentive Stock Options and Non-qualified Stock Options. Which of the following statements about ISOs and NSOs are accurate?

Neither are taxable upon exercise
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ISOs are taxable upon exercise whereas NSOs are not
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NSOs are taxable upon exercise whereas ISOs are not
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Both types can only be granted to current employees of the corporation
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Question 4 of 10

4. Question

The two most popular uses of put and call options as hedges to a long stock position would be:

Long put and short call
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Long put and long call
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Short put and long call
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Short call and short put
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Question 5 of 10

5. Question

Comparing the time-weighted and dollar-weighted returns of an investment,

They yield essentially the same results
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Time weighted measures the performance of the asset irrespective of cash flows whereas dollar-weighted factor in contributions and withdrawals
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Dollar weighted measures the performance of the asset irrespective of cash flows whereas time-weighted measures the performance while factoring in contributions and withdrawals.
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Time weighted return factors in the time value of money whereas dollar-weighted does not.
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Question 6 of 10

6. Question

In most instances, when analyzing the returns on investment of a corporate or municipal bond currently trading at a premium in the bond market, which of the following yields is required to be disclosed on the customer’s confirmation?

Yield to maturity
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Yield to call
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Yield to put
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Current yield
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Question 7 of 10

7. Question

One of the basic tenets of securities analysis is that any securities investment should have an expected return greater than the risk-free return. Two of the analytical tools frequently used to measure the degree to which an investor’s assumption of risk carries the expected reward are:

Holding period return and internal rate of return
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Yield to maturity vs. average dividend yield on listed equities
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Sharpe ratio and the computation of Alpha
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Alpha versus Beta
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Question 8 of 10

8. Question

One of the numerous indicators of a weakening US economy is the direction of the yield spread between investment grade debt and higher quality speculative debt. Which of these statements is generally considered true regarding this phenomenon?

When the yield spread is stable, the economy is stable
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When the yield spread is narrowing, the economy is showing positive upward movement
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When the yield spread is widening, the economy is point toward a more negative outcome
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All of the above
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Question 9 of 10

9. Question

The dividend discount model and the dividend discount growth model are different in that:

The DDM assumes dividends are a constant; the DDGM assumes dividends are in a growth period
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The both assume dividends are a constant — two names for the same model
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The DDM compares corporate dividends with corporate bond yields to maturity; the DDGM compares dividends to those of companies in the same industry or sector
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DDM is based on the dollar-weighted measure of return; DDGM is based on the time-weighted measure of return
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Question 10 of 10

10. Question

The Uniform Securities Act of 1956 contains provisions for private placements done at the intrastate level. All of the below statements are true of those regulations except:

The issuing corporation must limit the number of sales to individual non-institutional investors to no more than 10 in any 12 month period.
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The issuer must be incorporated within the state of the offering.
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Unlimited sales to institutional investors is permitted.
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None of these are exceptions
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