Series 65 – Uniform Investment Adviser Law Exam Practice Test
Series 65 – Uniform Investment Adviser Law Exam Laws, Regulations, and Ethics
Under the Investment Advisers Act of 1940, who is generally required to register with the SEC?
Select your answer
A
All investment advisers regardless of AUM
B
Investment advisers with $110 million or more in assets under management
C
Investment advisers with fewer than 15 clients
D
Only advisers who charge performance-based fees
Hint
