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Series 65: Uniform Investment Adviser Law
The Series 65 exam - the Uniform Investment Adviser Law - developed by NASAA and administered for NASAA by FINRA, evaluates an entry-level proficiency to provide investment advice to clients and in understanding the principles of state securities regulations reflected in the Uniform Securities Act with NASAA rule amendments prohibiting dishonest and unethical business practices. The exam provides state securities administrators with a basis to evaluate an applicant's knowledge and understanding of state law and regulations. This exam comprises 130 scored questions and 10 unscored "pretest" questions. Applicants have three-hours to complete the exam. The passing score is 72%.
Audience: The Series 65 exam - the Uniform Investment Adviser Law - is a state law exam for investment advisers and investment adviser representatives. The exam is for professionals who are registering as an investment adviser or associating with an investment adviser in order to, for compensation, provide advice on all types of securities, including corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government securities.
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- 20 Learning Modules
- 33 Interactive Online Quizzes
- 22 Video Tutorials
- 8 Sample Final Exams
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