Series 65: Investing And Reinvesting In Mutual Funds

Taken from our Series 65 Online Guide

Investing and Reinvesting in Mutual Funds

Automatic reinvestment. An investor may receive dividends and capital gains in the form of a check or may automatically reinvest in more shares. Automatic reinvestment occurs at the NAV and does not incur sales charges, saving the investor money. Reinvested dividends, income, and capital gains are subject to taxation. Retirement plans typically reinvest automatically, because there are considerable tax penalties for early withdrawals.

Dollar cost averaging. Dollar cost averaging is an investment strategy in which an investor makes regular, periodic purchases of the same dollar amount

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I took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

Jeff Dampf

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Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

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