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Example Questions from the Exam Facts 63 Book:

Define Investment Adviser

A person who: (1)advises others in securities for compensation, or (2) issues analyses or reports for compensation and as part of regular business.

Define NSMIA

National Securities Markets Improvement Act of 1996. Eliminated redundancy in state and federal laws. 

Define Investment Adviser Representative

Individual representing and investment adviser. 

Define two categories of registration for Investment Advisers.

Federal Covered Adviser (registered with SEC), State Covered Adviser (registered with state). 

Define Solicitor

Any individual who refers potential clients to an investment adviser for compensation.