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Securities > Exam Preparation > Course Details
Series 65 Investment Advisor
| 194093 | Classroom |
Quick Learning School | 16 |
$375.00 |
| Investment Advisor does not require a person pass the Securities Industry Essentials or have a Company Endorsement. |
| Series 65 Investment Advisors is a two (2) day exam prep course. we will covers key concepts on the first day YOU will review the Economic Factors and Business Information this section covers 15% of your exam or a total of 20 Questions; then we will cover Investment vehicle characteristics this section represents 25% which represents 32 question once you understand and know the types of cash or cash equivalents; types of fixed income securities; Factors of Fixed Income Securities; Types of Equity Securities; Day two will cover Client Investment Recommendations and Strategies importance of knowing your type of clients; their profile; tax considerations; retirement plans; ERICA issues; this section represents 30% of the exam for a total of 39 Question; last section of the exam will be dedicated to cover Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices; Regulation of Investment Advisers, Including State-Registered and Federal Covered Advisers; Regulation of Securities and Issuers; Remedies and Administrative Provisions(10) Question; Communication with Clients and Prospects; Ethical Practices and Fiduciary Obligations (11) Questions- this section represents 30% of the exam for a total of 39 Question. copy this URL to register for exam: https://ews.finra.org/auth/logon?realm=ews&goto=https://testenrollment.finra.org:443/testenrollment/api/users/org/NASAA
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