What will I learn?
Securities industry professionals seeking to charge a fee to provide investment advice as an investment adviser representative
(IAR) are required by most state securities administrators to pass the Uniform Investment Adviser Law Exam, more commonly known
as the Series 65 exam. This exam is developed by the North American Securities Administrators Association (NASAA) and administered by FINRA.
Candidates looking to obtain a Series 65 license must demonstrate general knowledge of the state securities regulations, ethical business
practices, fiduciary responsibilities, securities product knowledge and technical analysis. This course will deliver the content needed to
successfully complete the examination requirements.
Testable topics include:
Federal and state securities regulations, state registration of broker-dealers,
agents, investment advisers and investment adviser representatives, ethical guidelines and business practices, prohibited practices,
administration of the Uniform Securities Act, evaluating of customers and risks, customer accounts, securities markets, types of security
products, economics and fundamental analysis, methods for evaluating securities and securities trading strategies.