Securities Exam Prep Series 65
Series 65 Exam Prep
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Series 65 Package Comparison
We offer flexible solutions and packages designed to help candidates pass their Series 65 exam. Our training provides a variety of helpful study tools that prepares candidates for success.
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What is the Series 65 license?
The Series 65 license allows financial services professionals to qualify as an Investment Adviser Representative. In order to obtain a Series 65 license, candidates must prepare and pass the Series 65 exam (Uniform Investment Adviser Law Examination). This exam is administered by the Financial Industry Regulatory Authority (FINRA).
VIEW NASAA SERIES 65 EXAM CONTENT OUTLINE
About the Series 65 Exam
What are the topics covered on the Series 65 Exam?
The Series 65 exam is broken down into four parts (by content area). These topics include:
- Economic factors and business information
- Investment vehicle characteristics
- Client investment recommendations and strategies
- Laws, regulations and guidelines, including prohibition or unethical business practices
See below for more detailed breakdown or visit NASAA.
Investment Vehicle Characteristics
- Basic economic concepts
- Financial reporting
- Quantitative methods
- Types of risk
Economic Factors and Business Information
- Types and characteristics of cash and cash equivalents
- Types and characteristics of fixed income securities
- Methods used to determine the value of fixed income securities
- Types and characteristics of equity securities
- Methods used to determine the value of equity securities
- Types and characteristics of pooled investments
- Methods used to determine the value of pooled investments
- Types and characteristics of derivative securities
- Alternative Investments
- Insurance-based products
Client Investment Recommendations and Strategies
- Type of client
- Client profile
- Capital Market Theory
- Portfolio management styles and strategies
- Portfolio management techniques
- Tax Considerations
- Retirement plans
- ERISA issues
- Special types of account
- Trading securities
- Performance measures
Laws, Regulations, and Guidelines, including Prohibition on Unethical Business Practices
- State and Federal Securities Acts and related rules and regulations
- Ethical practices and fiduciary obligations
FINRA Series 65 Exam Details
The Series 65 exam consists of 130 multiple-choice questions. Candidates are given 3 hours to complete the exam and must achieve a 72% to pass. The cost of the exam is $175. Candidates do not need to be sponsored or employed by a member firm.
What is the ExamFX Guarantee Exam?
ExamFX is so confident in our training program that we guarantee users who successfully complete the Guarantee Exam will pass their licensing exam on their first attempt! If you do not pass your licensing exam within three days after scoring 80% or higher on the Guarantee Exam, we will refund the cost of your course. It is that simple. Some restrictions may apply.