NASAA Uniform Investment Advisor Law (Series 65) Exam Prep Training Course & Study Materials
Prepare for your NASAA Series 65 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
NASAA Uniform Investment Advisor Law (Series 65) Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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ONLINE COURSE PACKAGE
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TEXTBOOK PACKAGE
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Competency Exams
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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TC Critical Facts
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S65/66: Recommendations
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S65/66: Recommendations
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S65/66: Recommendations
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S65/66: Recommendations
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S65/66: Recommendations
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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130
Multiple-Choice Questions
3h 0min
Time to Complete
70.8%, 92/130 Questions Correct
Passing Score Required
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$187
Exam Cost
What is the Series 65 Exam?
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 for and pass the Series 65 exam (Uniform Investment Adviser Law Examination). This exam is administered by Financial Industry Regulatory Authority (FINRA).
Economic Factors and Business Information
- Basic economic concepts
- Financial reporting
- Analytical methods
- Types of risk
Investment Vehicle Characteristics
- Types and characteristics of cash and cash equivalents
- Types of fixed income securities
- Methods used to determine the value of fixed income securities
- Types of equity securities
- Methods used to determine the value of equity securities
- Types of pooled investments
- Characteristics of pooled investments
- Types of derivative securities
- Alternative investments
- Insurance-based products
- Other assets
Client Investment Recommendations and Strategies
- Type of client
- Client profile
- Capital market theory
- Portfolio management strategies, styles, and techniques
- Tax considerations
- Retirement plans
- ERISA issues
- Special types of accounts
- Ownership and estate planning techniques
- Trading securities
- Portfolio performance measures
Laws, Regulations, and Guidelines (including Prohibition on Unethical Business Practices)
- Regulations of Investment Advisers, Including State-Registered and Federal Covered Advisers
- Regulation of Investment Adviser Representatives
- Regulation of Broker-Dealers
- Regulations of Agents of Broker-Dealers
- Regulations of Securities and Issuers
- Remedies and Administrative Provisions
- Communication with Clients and Prospects
- Ethical Practices and Fiduciary Obligations
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