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NASAA Series 65 Study Guide

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Section 1 Classify retail, correspondence, and institutional communications Preview

Preview: IV. Laws, Regulations, Guidelines, and Unethical Practices (30%)

Preview includes

4 of 4 lesson topics
1 overview segment
3 core concepts
2 exam tips

Lesson Topics

Defining Retail, Correspondence, and Institutional Communications
Identifying Investor Groups
Analyzing Communication Distribution
Evaluating Communication Content

Overview

This objective focuses on correctly classifying communications based on the intended recipient audience – retail, correspondence, or institutional – and ensuring compliance with communication content standards.

Core Concepts

Under FINRA Rule 2210, correspondence is a written or electronic communication distributed or made available to 25 or fewer retail investors within any 30-calendar-day period.
Retail communication is written or electronic communication distributed or made available to more than 25 retail investors within any 30-calendar-day period.
Institutional communication is distributed or made available only to institutional investors and does not include a member firm's internal communications.

Exam Tips

When determining the communication type, always prioritize the *distribution* criteria (number of investors within 30 days).
Carefully analyze the communication content for any violations of the fairness and balance standards. Look for omissions or misleading claims.

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Section 2 Choose an appropriate account registration Pro

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Section 3 Translate objectives, time horizon, liquidity, and risk into constraints Pro

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Section 4 Read an income statement Pro

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Section 5 Compare preferred stock features Pro

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Section 6 Compare open-end and closed-end investment companies Pro

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Section 7 Apply dollar-cost averaging, redemption, and fund taxation Pro

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Section 8 Compare traded and non-traded REIT liquidity Pro

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Section 9 Analyze a long put Pro

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Section 10 Relate bond price to market yield Pro

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Section 11 Select a money-market instrument Pro

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Section 12 Distinguish Treasury from agency and mortgage-backed obligations Pro

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Section 13 Read and explain a customer confirmation Pro

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Section 14 Apply AON, FOK, IOC, MOC, and not-held qualifiers Pro

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Section 15 Meet good-delivery and T+1 settlement obligations Pro

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Section 16 Select an appropriate exempt-offering path Pro

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Section 17 Establish and limit discretionary authority Pro

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Section 18 Interpret alpha, beta, and CAPM inputs Pro

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Section 19 Reconcile authorized, issued, outstanding, and treasury shares Pro

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Section 20 Select an equity trading venue or liquidity mechanism Pro

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Section 21 Apply unit investment trust characteristics Pro

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Section 22 Compare equity, mortgage, and hybrid REITs Pro

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Section 23 Analyze an uncovered short call Pro

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Section 24 Calculate option intrinsic value, time value, and breakeven Pro

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Section 25 Use credit ratings and coverage measures Pro

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Section 26 Select among Treasury bills, notes, bonds, TIPS, and STRIPS Pro

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Section 27 Handle material disclosures and suspected elder exploitation Pro

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Section 29 Correct materially inaccurate registration information Pro

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Section 30 Analyze automatic registration of firm principals Pro

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Section 31 Apply issuer-agent exclusions Pro

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Section 32 Open an account at another financial institution Pro

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Section 33 Report a change in agent affiliation Pro

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Section 34 Evaluate transaction-based payments to a finder Pro

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Section 35 Use adviser or advisor titles accurately Pro

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Section 36 Deliver offering disclosure Pro

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Section 37 Evaluate deceptive sales presentations Pro

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Section 38 Apply commercial-honor standards Pro

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Section 39 Document a margin relationship Pro

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Section 40 Use at-the-market language accurately Pro

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Section 41 Respond to customer information requests and complaints Pro

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Section 42 Apply fair-and-balanced communication standards Pro

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Section 43 Protect SAR confidentiality Pro

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Section 44 Separate intrinsic value from time value Pro

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Section 45 Maintain customer account information Pro

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Section 46 Calculate initial margin Pro

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Section 47 Recognize uncovered-call risk Pro

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Section 48 Correct a misleading securities filing Pro

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Section 49 Choose registration by qualification Pro

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Section 50 Review an advisory contract Pro

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Section 51 Disclose an advisory conflict before advice Pro

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Section 52 Apply IAR place-of-business registration Pro

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Section 53 Enforce an administrator subpoena Pro

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Section 54 Distinguish SIPC protection from investment loss coverage Pro

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Section 55 Apply criminal-liability standards Pro

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Section 56 Apply product-specific communication and disclosure requirements Pro

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Section 57 Collect and maintain customer account information Pro

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Section 58 Use diversification to address concentration risk Pro

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Section 59 Interpret EPS, P/E, current yield, and payout ratio Pro

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Section 60 Evaluate ADR and foreign-security risks Pro

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Section 62 Distinguish accumulation units from annuity units Pro

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Section 63 Apply DPP pass-through tax treatment Pro

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Section 64 Use a covered call Pro

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Section 65 Evaluate call and reinvestment risk Pro

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Section 66 Compare GO and revenue municipal bonds Pro

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Section 67 Compare commissions, markups, loads, and ongoing fees Pro

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Section 68 Update account records and required notices Pro

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Section 69 Process a short sale under Regulation SHO Pro

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Section 70 Calculate mutual-fund NAV, POP, and forward price Pro

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Section 71 Explain the variable-annuity separate account Pro

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Section 72 Distinguish general and limited partner roles Pro

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Section 73 Analyze an uncovered short put Pro

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Section 74 Rank coupon, current yield, YTM, and YTC Pro

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Section 75 Evaluate a structured note or exchange-traded note Pro

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Section 76 Analyze CMO tranche prepayment and extension risk Pro

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Section 77 Reconcile statements, positions, and realized versus unrealized results Pro

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Section 78 Choose between stop and stop-limit orders Pro

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Section 79 Determine when a person is a broker-dealer Pro

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Section 80 Handle a broker-dealer succession Pro

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Section 81 Evaluate a broker-dealer employing an agent Pro

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Section 82 Evaluate a required surety bond Pro

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Section 83 Evaluate an agent application disclosure Pro

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Section 85 Distinguish firm title from agent activity Pro

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Section 86 Handle a securities transaction away from the firm Pro

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Section 87 Distinguish full discretion from time-and-price discretion Pro

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Section 88 Make a bona fide stated-price offer Pro

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Section 89 Complete a bona fide public offering Pro

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Section 90 Apply customer-specific recommendation analysis Pro

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Section 91 Evaluate hypothecation of customer securities Pro

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Section 92 Identify a manipulative transaction series Pro

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Section 93 Handle customer lending or borrowing Pro

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Section 94 Seek a trusted contact Pro

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Section 95 Calculate long-account equity Pro

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Section 96 Classify broad retail distribution Pro

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Section 97 Collect identifying information at account opening Pro

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Section 98 Apply pattern-day-trader equity Pro

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Section 99 Choose registration by notification and distinguish coordination/qualification Pro

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Section 100 Apply the exemption burden of proof Pro

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Section 101 Handle a federal covered security notice filing Pro

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Section 102 Evaluate an unaffiliated IAR registration Pro

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Section 103 Seek judicial enforcement remedies Pro

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Section 104 Apply administrative discipline requirements Pro

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Section 105 Apply controlling-person civil liability Pro

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Section 106 Distinguish systematic and nonsystematic risk Pro

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Section 107 Process dividends, splits, tenders, and other corporate actions Pro

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Section 108 Apply capital-gain holding periods and wash-sale rules Pro

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Section 109 Compare an ETF with an open-end mutual fund Pro

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Section 110 Evaluate a variable-annuity recommendation or exchange Pro

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Section 111 Analyze a long call Pro

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Section 112 Analyze long and short straddles Pro

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Section 113 Apply bond OID, premium, and secondary-market discount tax treatment Pro

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Section 114 Calculate municipal taxable-equivalent yield and price conventions Pro

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Section 115 Interpret support, resistance, trend, volume, and momentum Pro

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Section 116 Process withdrawals, tenders, and third-party instructions Pro

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Section 117 Complete an order ticket and distinguish agency from principal capacity Pro

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Section 118 Apply breakpoints, rights of accumulation, and letters of intent Pro

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Section 119 Relate the assumed interest rate to variable payouts Pro

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Section 120 Evaluate DPP economics and customer fit Pro

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Section 121 Compare debit and credit option spreads Pro

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Section 122 Calculate convertible bond parity Pro

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Section 123 Evaluate municipal credit, call, and marketability factors Pro

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Section 124 Determine basis for gifted and inherited securities Pro

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Section 125 Close an account while preserving obligations and records Pro

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Section 126 Apply annual registration expiration Pro

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Section 127 Determine whether an individual is an agent Pro

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Section 128 Analyze agent disciplinary grounds Pro

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Section 129 Identify excessive trading Pro

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Section 130 Safeguard free customer securities Pro

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Section 131 Identify matched-order manipulation Pro

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Section 132 Satisfy final awards and judgments Pro

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Section 133 Prevent unauthorized trading Pro

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Section 134 Evaluate miscellaneous service fees Pro

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Section 135 Disclose broker-dealer issuer affiliation Pro

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Section 136 Classify correspondence versus retail communication Pro

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Section 137 Verify customer identity timely Pro

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Section 138 Interpret SMA Pro

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Section 139 Classify institutional-only material Pro

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Section 140 Provide CIP notice Pro

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Section 141 Distinguish call and put rights Pro

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Section 142 Distinguish state registration from federal covered notice filing Pro

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Section 143 Apply the Act antifraud provision Pro

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Section 144 Calculate a buyer civil remedy Pro

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