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Series 65 Exam Prep, Over 1000 Questions And Answers, Verified Solution
Series 65 Exam Prep, Over 1000 Questions And Answers, Verified Solution 
 
Name the equity securities 
Preferred and Common stock 
What is a security? 
Instrument that is readily exchanged for value between parties and involves risk 
Why are Whole and Term life insurance sand IRAs/retirement plans NOT securities? 
Not readily exchanged 
Why are confirmations and prospectus not securities? 
Do not have value 
How does one become owner of a company? 
buy shares in that company 
What distinguishes ...
- Exam (elaborations)
- • 66 pages •
Series 65 Exam Prep, Over 1000 Questions And Answers, Verified Solution 
 
Name the equity securities 
Preferred and Common stock 
What is a security? 
Instrument that is readily exchanged for value between parties and involves risk 
Why are Whole and Term life insurance sand IRAs/retirement plans NOT securities? 
Not readily exchanged 
Why are confirmations and prospectus not securities? 
Do not have value 
How does one become owner of a company? 
buy shares in that company 
What distinguishes ...