Series 65 Exam

Series 65 Exam Prep

Uniform Combined State Law Examination Examination Prep Course



Series 65 Uniform Investment Adviser Law Examination
Online Exam Prep Course

The Uniform Investment Adviser Law Examination is developed by NASAA, The North American Securities Administrators Association. The Series 65 exam, is designed to qualify candidates as investment adviser representatives.

The Series 65 online exam prep course provides you with everything that you need to pass the Series 65 Exam. It is presented in an interactive online format and available within are supplementary materials, including downloadable PDFs of the actual course materials, that have been added to enhance your learning experience. The Series 65 Online course contains all of the same materials and questions available in the Series 65 Textbook and Exam Prep software package but for your convenience everything has been made available in our interactive online format.

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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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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.

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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:


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



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.

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