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16 Οκτ 2024 · The Series 65, officially known as the Uniform Investment Adviser Law Exam, is designed to test an individual's knowledge and ability to advise clients in the area of investing...
29 Ιουλ 2024 · The Series 65 exam, known formally as the Uniform Investment Adviser Law Examination, covers laws, regulations, ethics, and various topics important to the role of a financial adviser....
OVERVIEW. The Uniform Investment Adviser Law Examination and the available study outline were developed by NASAA. The examination, called the Series 65 exam, is designed to qualify candidates as investment adviser representatives.
The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA. The exam consists of 130 scored questions and 10 unscored questions.
The Series 65 examination evaluates an applicant’s knowledge of general finance, economics and investing principles as well as legal principles set by federal and state laws. These various principles have been identified by the examination developers as appropriate metrics for successful professional service as an investment adviser representative.
Series 65 is a comprehensive multiple-choice test composed of 130 questions. It evaluates knowledge that prospective IARs need to competently render investment advice and abide by securities laws and regulations. Specifically, topics include financial planning, portfolio management strategies, laws and regulations, ethical standards, and economics.
13 Νοε 2023 · Series 65 is a standardized exam created and maintained by NASAA, the North America Association of Securities Administrators Association, and administered by FINRA, the Financial Industry Regulatory Authority.
