Textbook

$69.95

Series 6 Investment Company Representative Textbook (Pub. 2007, 200+ pages) The Series 6 Textbook provides you with all the information that you need to pass the Series 6 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View 20 Pages from Chapter 1 Add Exam Prep Software and Save $20.00

Software

$48.95

Series 6 Investment Company Representative Exam Prep Software Over 800 Questions! (Software Never Expires) The Series 6 Exam Prep Software contains a test bank of over 800 multiple choice questions. These questions have been prepared from the Series 6 course material and are similar to the questions given during the actual Series 6 Exam. Upon purchase the Series 6 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions View Screen Captures

Exam Info

Exam Info

Time Limit:	2 hours and 15 minutes
Number of Questions:	100.
Passing Score:	70%
Format:	Multiple Choice
Enrollment Fee:	$75 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	You must be sponsored by a firm who is a member of FINRA or is a Self Regulatory Organization (SRO).
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/RulesRegulation/index.htm

Description

Course Description

This course is designed for individuals who wish to sell only investment company products (e.g., mutual funds and money-market funds) and variable annuities for an FINRA broker-dealer and firms that sell primarily insurance-related products. This course covers how to assess the needs of an investor and suggests the most appropriate solution.

This course covers: Stocks, Debt Securities, Investment Banking, Securities Markets, Investment Risks and Policies, Investment Companies, Taxation, Customer Accounts, Mutual Funds, Self Regulatory Organizations (SRO’s), Securities Analysis, Retirement Plans, Variable Annuities and Variable Life Insurance.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

• Identify features of different securities, including stocks and bonds.
• Describe the usage of options contracts.
• Compare and contrast types of investment companies.
• Discuss investment company structure, registration and taxation.
• Analyze different investing strategies and their relevance to customers.
• Understand the mechanics of fixed and variable annuities.
• Differentiate among retirement accounts, including IRAs, Keogh Plans and others.
• List important legal requirements in the financial services industry.
• Apply the four main bylaws of FINRA.
• Summarize ethical conduct standards for Registered Representatives.

Special Packages!

$145.00	Series 6 Online Course and Exam Prep Software Package If you choose to buy these as a package you will save yourself $20. Information about each individual course is available from the tabs above.
$98.90	Series 6 Textbook and Exam Prep Software Package The Series 6 Textbook and Exam Prep Software package is a combination of the Series 6 Textbook and Series 6 Exam Prep Software. If you choose to buy these as a package you will save yourself $20. Information about each individual course is available below.
$172.00	Series 6 and 63 Online Exam Prep Course Package This package is a combination of the Series 6 and Series 63 Online Exam Prep Course. If you choose to buy these as a package you will save yourself $60.
$174.95	Series 6 and 63 Textbook and Exam Prep Software Package This package is a combination of the Series 6 and Series 63 Textbook and Exam Prep Software. If you choose to buy these as a package you will save yourself $45.94.

Textbook

$153.90

Series 7 General Securities Registered Representative Textbook (Pub. 2007, 480+ pages) The Series 7 Textbook provides you with all the information that you need to pass the Series 7 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View Sample Chapter

Software

$108.90

Series 7 General Securities Registered Representative Exam Prep Software Over 1,500 Questions! (Software Never Expires) The Series 7 Exam Prep Software contains a test bank of over 1,500 multiple choice questions. These questions have been prepared from the Series 7 course material and are similar to the questions given during the actual Series 7 Exam. Upon purchase the Series 7 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions View Screen Captures

Exam Info

Exam Info

Time Limit:	6 Hours (the series 7 exam is broken into two parts, each has a time limit of 3 hours)
Number of Questions:	260 total. 125 for each part, and 10 pre-test questions that do not count towards the exam grade (and are not indicated in the exam).
Passing Score:	70%
Format:	Multiple Choice
Enrollment Fee:	$250 US. This includes a $110 examination enrollment fee, and a $90 NYSE development fee. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	You must be sponsored by a firm who is a member of FINRA or is a Self Regulatory Organization (SRO).
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/

Description

Course Description

The Series 7 license exam is required by most broker-dealers for their registered representatives. The general Securities Registered Representative license entitles the holder to sell all types of securities products, with the exception of commodities futures (which requires a Series 3 license). This course will prepare you for the Series 7 exam by covering areas tested by FINRA. Series 7 serves as a prerequisite for most of FINRA’s principal examinations, and is the most comprehensive of the FINRA representative licenses.

This course covers the solicitation, purchase, and sale of a broad range of investment products, including stocks, bonds, mutual funds, municipal securities, options and direct participation programs. This course also examines areas such as options, debt securities, taxes, investment banking, financial statements, law, FINRA, investment companies, municipal securities, trading, margins, securities analysis, economics, self-regulatory organizations (SROs) and many more.

Each section contains practice quizzes to sharpen test-taking skills. Feedback rationale for each question clarifies key points and improves retention. The course concludes with five practice finals (over 1200 questions) that simulate the actual FINRA exam and help to ensure exam readiness. Study emphasis should be placed on the quizzes and final exams; successful completion indicates your progress in preparation for the license exam.

Learning Objectives

• Describe the general characteristics of equity securities, which include aspects of stocks and government securities, rights and warrants, computations of interest, yield and price. Learn how to make recommendations to customers.
• Summarize the economics of the business cycle, effects of inflation, investment analysis, currency markets and exchange rates. Learn about the money market and the sources of economic and business performance data.
• Distinguish various types of customer accounts and their management by third parties. Learn how and why accounts are closed or transferred.
• Calculate the required information for margin accounts and learn about short sales.
• Define trading, which includes types of orders, the consolidated tape and collecting information on stocks and bonds.
• Identify the general characteristics of municipal securities, their types and marketability. Learn the methods of underwriting and the analysis of bonds.
• Describe the purpose and types of investment companies, the types of mutual funds and their marketing and the rules and legalities of investment companies.
• Summarize the purpose of the FINRA and the conduct, rules and definition of the Registered Representative.
• Discuss the standards for public communications and the over-the-counter markets. Learn the purpose and functions of a back office.
• List securities acts and legislation, the variations in offerings, methods of underwriting and compensations considerations.
• Examine financial statements, which include components of a balance sheet, their calculations, effects of transactions on the balance sheet and income statements.
• Learn the taxation concepts for various taxable incomes, tax swaps, gifts, estate taxes and retirement plans.
• Describe the definition, structure and documentation of direct participation programs and the rights, obligations and restrictions on partners.
• Identify the characteristics of corporations and limited partnerships.
• Predict the tax consequences for partners, and the objectives of real estate syndications, oil and gas drilling programs and leasing programs.
• Define the concepts and terms of options. Understand how to calculate the value of an option position and the use of various strategies. Learn the various types of spreads and options.

Special Packages!

$208.90	Series 7 Textbook and Exam Prep Software Package The Series 7 Textbook and Exam Prep Software package is a combination of the Series 7 Textbook and Series 7 Exam Prep Software. If you choose to buy these as a package you will save yourself $20. Information about each individual course is available below.
$240.00	Series 7 and 63 Online Exam Prep Course Package This package is a combination of the Series 7 and Series 63 Online Exam Prep Course. If you choose to buy these as a package you will save yourself $60.
$258.95	Series 7 and 63 Textbook and Exam Prep Software Package This package is a combination of the Series 7 and Series 63 Textbook and Exam Prep Software. If you choose to buy these as a package you will save yourself $45.94.
$235.00	Series 7 and 66 Online Exam Prep Course Package This package is a combination of the Series 7 and Series 66 Online Exam Prep Course. If you choose to buy these as a package you will save yourself $60.
$253.90	Series 7 and 66 Textbook and Exam Prep Software Package This package is a combination of the Series 7 and Series 66 Textbook and Exam Prep Software. If you choose to buy these as a package you will save yourself $45.94.

Textbook

$207.95

Series 24 General Securities Principal Textbook (Pub. 2007) The Series 24 Textbook provides you with all the information that you need to pass the Series 24 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View Sample Chapter

Software

$99.00

Series 24 General Securities Principal Exam Prep Software Over 1,250 Questions! (Software Never Expires) The Series 24 Exam Prep Software contains a test bank of over 1,250 multiple choice questions. These questions have been prepared from the Series 24 course material and are similar to the questions given during the actual Series 24 Exam. Upon purchase the Series 24 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions

Exam Info

Exam Info

Time Limit:	3 hours and 30 minutes.
Number of Questions:	150 questions.
Passing Score:	70%
Format:	Multiple Choice
Enrollment Fee:	$95 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version.
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/RulesRegulation/index.htm

Description

Course Description

This course is designed for individuals who wish to supervise or manage the general securities activities of FINRA member firm. This would entitle the holder to supervise trades involving corporate securities, direct participation programs (DPP’s) and investment company/variable contracts. An individual registered as a general securities principal is not qualified to function as a municipal securities principal, a registered options principal (ROP), a financial and operations principal (FinOp), or a general securities sales supervisor. The course covers: supervision of investment banking activities, market-making activities, brokerage office operations, regulatory framework of FINRA, and compliance with financial responsibility rules.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

• Learn the basic concepts of insurance
• Learn about the Financing Proposals
• Study the types of Underwriting Commitments, and the Underwriters Compensation
• Understand Formation of the Selling Group
• Learn about Securities and Transactions that are exempt
• Understand various rules and regulations
• Understand various aspects of Market Making and Market Makers
• Learn about Trade Reporting
• Understand the FINRA Conduct Rules
• Learn about the different types of Customers, Customer Accounts & Documents Required
• Understand the workings of Custodial Accounts
• Learn about various Retirement Plans
• Learn the ERISA concepts
• SEC Definitions, Rules on Fraud and Manipulation
• Understand the Regulatory Framework of the FINRA
• Understand the Investment Company Securities
• Learn the Rules of Conduct for Unfair Practices
• Understand the Code of Procedure
• How to Calculate Net Capital
• Understand the Rules and Requirements for Net Capital
• Learn the Rules of Customer Protection
• Learn the Requirements on Financial Reporting

Special Packages

$257.95

Series 24 Textbook and Exam Prep Software Package The Series 24 Textbook and Exam Prep Software package is a combination of the Series 24 Textbook and Series 24 Exam Prep Software. If you choose to buy these as a package you will save yourself $50. Information about each individual course is available below.

Textbook

$93.94

Series 26 Textbook (Pub. 2007, 200+ Pages) The Series 26 Textbook provides you with all the information that you need to pass the Series 26 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View Sample Chapter

Software

$103.94

Series 26 Exam Prep Software Over 1,250 Questions! (Software Never Expires) The Series 26 Exam Prep Software contains a test bank of over 1,250 multiple choice questions. These questions have been prepared from the Series 26 course material and are similar to the questions given during the actual Series 26 Exam. Upon purchase the Series 26 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions

Exam Info

Exam Info

Time Limit:	2 hours and 30 minutes.
Number of Questions:	110 questions.
Passing Score:	70%
Format:	Multiple Choice
Enrollment Fee:	$75 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	Successful completion of the Series 6 or Series 7 exam.
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/RulesRegulation/index.htm

Description

Course Description

The series 26 is required for persons who will supervise representatives soliciting the purchase or sale of redeemable securities (mutual funds), variable contracts and insurance premium funding programs (variable life) issued by insurance companies.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

• Understand the regulations of investment companies
• Learn the definitions in the investment company act of 1940
• Learn the legal and financial structure of investment companies
• Understand the client account procedures
• Understand the various types of payment, retirement and pension plans
• Learn the supervision regulations
• Understand the FINRA structure and conduct rules
• Understand the importance of customer protection
• Learn the financial reporting requirements

Special Packages

$173.93

Series 26 Textbook and Exam Prep Software Package The Series 26 Textbook and Exam Prep Software package is a combination of the Series 26 Textbook and Series 26 Exam Prep Software. If you choose to buy these as a package you will save yourself $50. Information about each individual course is available below.

Textbook

$68.90

Series 63 Uniform Securities Agent Examination Textbook (Pub. 2007, 200+ pages) The Series 63 Textbook provides you with all the information that you need to pass the Series 63 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View Sample Pages from the book

Software

$64.94

Series 63 Uniform Securities Agent Examination Exam Prep Software Over 400 Questions! (Software Never Expires) The Series 63 Exam Prep Software contains a test bank of over 400 multiple choice questions. These questions have been prepared from the Series 6 course material and are similar to the questions given during the actual Series 6 Exam. Upon purchase the Series 6 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions View Screen Captures

Exam Info

Exam Info

Time Limit:	1 hour and 15 minutes
Number of Questions:	65 questions. 5 of the 65 questions do not count towards your grade as they are pre-test questions for future examinations. Note that the exam does not indicate which questions these are.
Passing Score:	70%
Format:	Multiple Choice
Enrollment Fee:	$82 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version.
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/RulesRegulation/index.htm

Description

Course Description

The Uniform Securities Agent State Law Examination was developed by the North American Securities Administrators Association, Inc. (“NASAA”) in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination entities candidates to sell securities and give investment advice in those states that require Series 63 registration.

The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations. This course will give you an understanding of the scope of the Federal Securities Laws, what fraudulent activities are and the provisions for violations.

Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam. The Series 63 test covers topics including: State Registration Laws and Procedure, Penalties and Suspension, Lawful Practices, Definition of terms, Administrator Rules, Fraudulent Practices and Regulatory Oversights.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

• Learn the scope of the Uniform Securities Laws
• How does one register for securities and their denial, suspension and revocation
• Learn about the registration of persons in the securities industry
• Which practices are prohibited and considered fraudulent
• Understand the provisions for violations

Special Packages

$95.94

Series 63 Textbook and Exam Prep Software Package The Series 63 Textbook and Exam Prep Software package is a combination of the Series 63 Textbook and Series 63 Exam Prep Software. If you choose to buy these as a package you will save yourself $20.

Textbook

$98.90

Series 65 Uniform Investment Adviser Law Examination Textbook (Pub. 2007, 200+ pages) The Series 65 Textbook provides you with all the information that you need to pass the Series 65 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View Sample Pages from the book

Software

$68.90

Series 65 Uniform Investment Adviser Law Examination Exam Prep Software Over 620 Questions! (Software Never Expires) The Series 65 Exam Prep Software contains a test bank of over 620 multiple choice questions. These questions have been prepared from the Series 6 course material and are similar to the questions given during the actual Series 6 Exam. Upon purchase the Series 6 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions View Screen Captures

Exam Info

Exam Info

Time Limit:	3 hours
Number of Questions:	130 questions. Each candidate will be given 10 practice questions that doesn’t count towards their score.
Passing Score:	68.5% At least 89 of the questions must be answered correctly for an individual to pass the Series 65 exam.
Format:	Multiple Choice
Enrollment Fee:	$120 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version.
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/RulesRegulation/index.htm

Description

Course Description

This course helps the candidate to prepare for and successfully pass the Uniform Investment Adviser Law Examination (Series 65). The Series 65 exam entitles the candidate to give investment advice and sell securities in those states that require Series 65 registration.

Designed for individuals who must satisfy state investment adviser requirements, the exam focuses on: federal securities law, the Uniform Securities Act, economics and analysis, investment vehicles, investment recommendations and strategies, ethics and legal guidelines for investment advisers, and unethical business practices of investment advisers.

Series 65 exam is required by most states for individuals who wish to act as investment advisers. This exam is waived by some states if the applicant has the CFP (Certified Financial Planner), the ChFC (Chartered Financial Consultant), APFS (Accredited Personal Financial Specialist), CFA (Chartered Financial Analyst), the CIC (Chartered Investment Counselor), or other designations or items as ruled by the (state) administrator.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

• Learn the basic concepts of economics.
• Learn the analysis of financial statements and methods to evaluate investments.
• Learn about the risks in economics.
• Understand the various investment vehicles.
• Learn about the investment recommendations and strategies.
• Understand the fundamental terms and concepts of trading securities and how to calculate performance.
• Understand which practices are considered fraudulent and prohibited and the provisions for violations.
• Study the federal acts, including the Securities Acts of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940.
• Learn about the ethical and unethical practices of investment

Specials

$133.90

Series 65 Textbook and Exam Prep Software Package The Series 65 Textbook and Exam Prep Software package is a combination of the Series 65 Textbook and Series 65 Exam Prep Software. If you choose to buy these as a package you will save yourself $20.

Textbook

$88.90

Series 66 Uniform Combined State Law Examination Textbook (Pub. 2007, 200+ pages) The Series 66 Textbook provides you with all the information that you need to pass the Series 66 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. View Table of Contents View Sample Pages from the book

Software

$53.95

Series 66 Uniform Combined State Law Examination Exam Prep Software Over 620 Questions! (Software Never Expires) The Series 6 Exam Prep Software contains a test bank of over 620 multiple choice questions. These questions have been prepared from the Series 6 course material and are similar to the questions given during the actual Series 6 Exam. Upon purchase the Series 6 Exam Prep Software will be sent immediately to the email address given during registration. Download Demo View 10 Sample Questions View Screen Captures

Exam Info

Exam Info

Time Limit:	2 hours and 30 minutes
Number of Questions:	100 questions. Each candidate will be given 10 practice questions that doesn’t count towards their score.
Passing Score:	70%
Format:	Multiple Choice
Enrollment Fee:	$113 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites:	There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version.
Corequisites:	N/A
Exam Date(s):	Any weekday
Exam Locations:	Find your U.S. or international exam center
Official Exam Website:	http://www.finra.org/RulesRegulation/index.htm

Description

Course Description

The Series 66 license exam is designed for states that require registration of individuals as both investment advisers and stockbrokers. The Series 66 exam combines the Series 65 and Series 63 licenses. Some states require candidates to take just one test that dually registers them as an agent of a broker-dealer and also as a representative of an investment adviser. Those interested should consult with their compliance department or state securities regulator to see if Series 66 is available in their particular state. Persons may take the Series 66 exam only after they have passed the Series 7 exam. Persons taking the Series 66 exam must display competence in some areas of investment analysis, recommendations, and strategies that are not heavily covered in the Series 7 exam.

The Uniform Combined State Law exam covers the principles of state securities regulation covered in the Uniform Securities Act and Federal securities laws which are applicable to investment advisers. The Series 66 test covers topics including: Product Education, Retirement Planning, Conduct and Business Ethics, State Laws and Registration Procedures, Securities Rules and Regulations, and Investment Adviser Laws.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

• Learn the quantitative methods to evaluate investment.
• Understand the Investment policy and strategy.
• Understand the retirement plans and ERISA.
• Learn about the risks involved, and how to manage a portfolio.
• Learn the scope of Uniform Securities Act.
• Understand the Fraudulent and Prohibited practices in business and advisory activities.
• Get an in-depth understanding of the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and the Investment Company Act of 1940.
• Learn about the NASAA Statement on Unethical Practices of Investment AdvisersUnderstand trading, which includes various types of orders, the consolidated tape and how to collect information on stocks and bonds.

Special Packages

$107.95

Series 66 Textbook and Exam Prep Software Package The Series 66 Textbook and Exam Prep Software package is a combination of the Series 66 Textbook and Series 66 Exam Prep Software. If you choose to buy these as a package you will save yourself $20.