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BUNDLE FOR AWMA Test Questions with Correct Answers
1
Exam (elaborations)
AWMA Test Questions with Correct Answers

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Exam (elaborations)
AWMA Exam 1 Questions with Correct Answers

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Exam (elaborations)
AWMA Exam 2 Questions with Correct Answers

4
Exam (elaborations)
AWMA Exam Practice Questions with Correct Answers

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Exam (elaborations)
AWMA Practice Exam Questions with Correct Answers

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Exam (
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- AWMA Module 5 Quiz Questions and Answers All Correct • Exam (elaborations)
- AWMA Test Questions with All Correct Answers • Exam (elaborations)
- AWMA Practice Exam II Questions and Answers All Correct • Exam (elaborations)
- AWMA Module 8 Quiz with Complete Solutions • Exam (elaborations)
- AWMA Module 1 Questions with Correct Answers • Exam (elaborations)
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Exam (elaborations)
AWMA Test Questions with Correct Answers

2
Exam (elaborations)
AWMA Exam 1 Questions with Correct Answers

3
Exam (elaborations)
AWMA Exam 2 Questions with Correct Answers

4
Exam (elaborations)
AWMA Exam Practice Questions with Correct Answers

5
Exam (elaborations)
AWMA Practice Exam Questions with Correct Answers

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AWMA Test Questions with Correct Answers
AWMA Test Questions with Correct 
Answers 
 
Capital Market Line - Answer-A graphical representation of the relationship between risk 
and return, where risk is measured by standard deviation; the CML includes the concept 
of a risk-free rate of return 
Jenson Performance index - Answer-Used in comparing performance money managers 
on a risk-adjusted basis and can be used by itself. A number above 0.00 indicates the 
manager had better performance than would be expected given the risk he took......
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- Exam (elaborations)
- • 3 pages •
AWMA Test Questions with Correct 
Answers 
 
Capital Market Line - Answer-A graphical representation of the relationship between risk 
and return, where risk is measured by standard deviation; the CML includes the concept 
of a risk-free rate of return 
Jenson Performance index - Answer-Used in comparing performance money managers 
on a risk-adjusted basis and can be used by itself. A number above 0.00 indicates the 
manager had better performance than would be expected given the risk he took......
AWMA Exam 1 Questions with Correct Answers
AWMA Exam 1 Questions with Correct 
Answers 
 
Which one of the following characteristics is more correct concerning younger wealthy 
individuals (millennials and GenXers)? 
A) Younger wealthy individuals are seeking more technological options in financial 
planning. 
B) Younger wealthy individuals have not experienced significant bear markets. 
C) Younger wealthy individuals have directly opposite financial needs as compared to 
baby boomers. 
D) Younger wealthy individuals likely want to be ad...
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- Exam (elaborations)
- • 22 pages •
AWMA Exam 1 Questions with Correct 
Answers 
 
Which one of the following characteristics is more correct concerning younger wealthy 
individuals (millennials and GenXers)? 
A) Younger wealthy individuals are seeking more technological options in financial 
planning. 
B) Younger wealthy individuals have not experienced significant bear markets. 
C) Younger wealthy individuals have directly opposite financial needs as compared to 
baby boomers. 
D) Younger wealthy individuals likely want to be ad...
AWMA Exam 2 Questions with Correct Answers
AWMA Exam 2 Questions with 
Correct Answers 
 
Of the following practical dimensions of emotional intelligence, which is the most 
complex and difficult to attain? 
A)Regulation of adviser and/or client emotions 
B)Integration of emotional intelligence into thinking 
C)Perception and differentiation between emotions 
D)Understanding and explanation of the emotions - Answer-A) Individuals who score 
highly on the main dimensions of EI are able to perceive and differentiate between 
emotions, inte...
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- Exam (elaborations)
- • 23 pages •
AWMA Exam 2 Questions with 
Correct Answers 
 
Of the following practical dimensions of emotional intelligence, which is the most 
complex and difficult to attain? 
A)Regulation of adviser and/or client emotions 
B)Integration of emotional intelligence into thinking 
C)Perception and differentiation between emotions 
D)Understanding and explanation of the emotions - Answer-A) Individuals who score 
highly on the main dimensions of EI are able to perceive and differentiate between 
emotions, inte...
AWMA Exam Practice Questions with Correct Answers
AWMA Exam Practice Questions with 
Correct Answers 
 
What are the 4 rules in terms of investing in a small firm? - Answer-Time frame of at 
least 3-5 years, diversify among 20-30 different issues, avoid turnover of 30% annually, 
and sell if and when 40% of company's shares become owned by institutional investors. 
What is a characteristic of an unfunded excess benefit plan? - Answer-The plan 
generally need not comply with either the disclosure or reporting requirements of 
ERISA. 
Unfunded e...
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- Exam (elaborations)
- • 6 pages •
AWMA Exam Practice Questions with 
Correct Answers 
 
What are the 4 rules in terms of investing in a small firm? - Answer-Time frame of at 
least 3-5 years, diversify among 20-30 different issues, avoid turnover of 30% annually, 
and sell if and when 40% of company's shares become owned by institutional investors. 
What is a characteristic of an unfunded excess benefit plan? - Answer-The plan 
generally need not comply with either the disclosure or reporting requirements of 
ERISA. 
Unfunded e...
AWMA Practice Exam Questions with Correct Answers
AWMA Practice Exam Questions 
with Correct Answers 
 
Baby boomers and older GenXers as compared to millennials and younger Gen Xers- 
-Are likely to be advised by a millennial adviser 
-Have financial planning needs that has stayed relatively the same over many years 
-Have not experienced significant bear markets 
-Are generally seeking many more technological options in financial planning - AnswerHave financial planning needs that has stayed relatively the same over many years 
Dan has bonds ...
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- Exam (elaborations)
- • 51 pages •
AWMA Practice Exam Questions 
with Correct Answers 
 
Baby boomers and older GenXers as compared to millennials and younger Gen Xers- 
-Are likely to be advised by a millennial adviser 
-Have financial planning needs that has stayed relatively the same over many years 
-Have not experienced significant bear markets 
-Are generally seeking many more technological options in financial planning - AnswerHave financial planning needs that has stayed relatively the same over many years 
Dan has bonds ...
AWMA Test Review 1 Questions with Correct Answers
AWMA Test Review 1 Questions with 
Correct Answers 
 
If ABC Corporation has net profits of $100,000 and distributes $50,000 as dividends, 
what is its taxable income? 
A. $0 
B. $25,000 
C. $50,000 
D. $100,000 - Answer-The net profits of a corporation are subject to federal income 
taxation. This tax is levied on corporate taxable income before payment of dividends to 
common and preferred shareholders. Thus, if ABC Corporation has net profits of 
$100,000 and distributes $50,000 as dividends,...
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- Exam (elaborations)
- • 18 pages •
AWMA Test Review 1 Questions with 
Correct Answers 
 
If ABC Corporation has net profits of $100,000 and distributes $50,000 as dividends, 
what is its taxable income? 
A. $0 
B. $25,000 
C. $50,000 
D. $100,000 - Answer-The net profits of a corporation are subject to federal income 
taxation. This tax is levied on corporate taxable income before payment of dividends to 
common and preferred shareholders. Thus, if ABC Corporation has net profits of 
$100,000 and distributes $50,000 as dividends,...
AWMA Exam 3 Questions with Correct Answers
AWMA Exam 3 Questions with 
Correct Answers 
 
The top three specialty areas in which high net worth individuals seek advice include all 
of the following except 
A)retirement planning. 
B)tax planning. 
C)estate planning. 
D)investment planning. - Answer-A) The top three specialty areas in which high net 
worth individuals seek advice are tax, estate, and investment planning. Retirement 
planning is not as necessary, but may be a minor concern. Mod 1 
Concerning behavioral biases and as compare...
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- Exam (elaborations)
- • 22 pages •
AWMA Exam 3 Questions with 
Correct Answers 
 
The top three specialty areas in which high net worth individuals seek advice include all 
of the following except 
A)retirement planning. 
B)tax planning. 
C)estate planning. 
D)investment planning. - Answer-A) The top three specialty areas in which high net 
worth individuals seek advice are tax, estate, and investment planning. Retirement 
planning is not as necessary, but may be a minor concern. Mod 1 
Concerning behavioral biases and as compare...
AWMA Module 1 Questions with Correct Answers
AWMA Module 1 Questions with 
Correct Answers 
 
the most stated life goals for wealthy investors are (4): - Answer--good health 
-travel 
-bucket list 
-financial success 
to achieve financial success, the most common financial goals are (4): - Answer-- 
protecting wealth 
-securing retirement lifestyle 
-minimizing taxes 
-leaving an estate to their heirs 
SRI - Answer-sustainable, responsible, and impact investing 
ESG - Answer-environmental, social and corporate governance investing 
key cha...
- Package deal
- Exam (elaborations)
- • 2 pages •
AWMA Module 1 Questions with 
Correct Answers 
 
the most stated life goals for wealthy investors are (4): - Answer--good health 
-travel 
-bucket list 
-financial success 
to achieve financial success, the most common financial goals are (4): - Answer-- 
protecting wealth 
-securing retirement lifestyle 
-minimizing taxes 
-leaving an estate to their heirs 
SRI - Answer-sustainable, responsible, and impact investing 
ESG - Answer-environmental, social and corporate governance investing 
key cha...
AWMA Module 8 Quiz with Complete Solutions
AWMA Module 8 Quiz with Complete 
Solutions 
 
The provision that certain mutual fund policies cannot be changed without shareholder 
approval is addressed in the 
A) Investment Company Act of 1940. 
B) Securities Exchange Act of 1934. 
C) Investment Advisers Act of 1940. 
D) Securities Act of 1933. - Answer-A) Investment Company Act of 1940. 
The regulation of mutual funds is covered in the Investment Company Act of 1940. 
A major responsibility of FINRA is 
A) developing rules and regulations ...
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- Exam (elaborations)
- • 12 pages •
AWMA Module 8 Quiz with Complete 
Solutions 
 
The provision that certain mutual fund policies cannot be changed without shareholder 
approval is addressed in the 
A) Investment Company Act of 1940. 
B) Securities Exchange Act of 1934. 
C) Investment Advisers Act of 1940. 
D) Securities Act of 1933. - Answer-A) Investment Company Act of 1940. 
The regulation of mutual funds is covered in the Investment Company Act of 1940. 
A major responsibility of FINRA is 
A) developing rules and regulations ...
NR547 Final Exam ACTUAL EXAM TEST BANK 200+ QUESTIONS AND CORRECT DETAILED ANSWERS WITH RATIONALES (VERIFIED ANSWERS)|AGRADE