Document Preparation & Filing Flashcards
7 cards from real Series 66 – Uniform Combined State Law Exam practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Document Preparation & Filing flashcards as text
An issuer sells securities under Rule 506 of Regulation D. Within how many days of the first sale must Form D be filed with the SEC?
Answer: 15 days
Form D must be filed within 15 days after the first sale.
Which type of state registration is available only to issuers that have a registration statement filed with the SEC and is effective at the same time as the federal one?
Answer: Coordination
Registration by coordination goes effective simultaneously with the federal registration.
Which state registration method requires the administrator to conduct a full merit review of the offering?
Answer: Qualification
Registration by qualification involves the administrator's independent review and is used for offerings not registered federally.
Which document must an investment adviser provide at or before entering an advisory contract?
Answer: Form ADV Part 2A brochure
The brochure (Part 2A) must be delivered before or at the time of entering the advisory contract.
Which form is used by investment advisers to withdraw their registration?
Answer: Form ADV-W
Form ADV-W withdraws an adviser registration.
Form ADV Part 2B (brochure supplement) provides information about whom?
Answer: Supervised persons who give advice to clients
Part 2B describes the education, business background and disciplinary history of supervised persons giving advice.
A state administrator concludes a registration statement contains a material misstatement after it became effective. Which action is most appropriate?
Answer: Stop order
A stop order can suspend the effectiveness of a registration statement containing a material misstatement.
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