Series 65 Exam
Series 65 Exam Prep
Uniform Combined State Law Examination Examination Prep Course
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$115.00 |
Series 65 Uniform Investment Adviser Law Examination
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$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. |
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$68.90 |
Series 65 Uniform Investment Adviser Law Examination
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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 |
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
 $133.90 |
Series 65 Textbook and Exam Prep Software PackageThe 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. |
