Category: Series 65 Exam Prep

In our previous article we reviewed the three ways for purchasing an annuity contract. Let’s move forward here, and get a little bit more detailed about some of the specifics regarding the operation of the annuity’s separate account. When an investor contributes money into a variable annuity product, that money goes into the separate account... "Annuity payments and taxation"

 In this article we are going to examine the use of social media and its impact on investment advisors and their representatives.  Additionally, we will explore best practices for investment advisors to disclose potential conflicts of interest and to manage their fiduciary duty to the client. LinkedIn, this feature is almost impossible to ignore. Why... "Investment Advisor Conflicts"

In this article we are going to review what you need to know about variable annuities to pass your FINRA exam. An annuity is a contract between an individual and an insurance company. Once the contract is entered into, the individual becomes known as the annuitant. There are several different types of annuity contracts that... "FINRA test prep – variable annuity contracts"

In this article we are going to take a look at the impact Economic Policy can have on the overall health of the business cycle. Additionally, we will look at the approach taken by various schools of economic thought  to try to guide the economy through the business cycle. Classical economics Classical economics originated in... "FINRA exam prep- schools of economic thought"

In this article we are going to examine some of the requirements of Regulation Best Interest also known as Regulation BI or Reg BI.  Regulation Best Interest  Regulation Best Interest (Reg BI) was adopted by the SEC in June of 2019 as an amendment to The Securities Exchange Act of 1934. All broker dealers, investment... "What is Regulation Best Interest?"

There are several key differences between the series 65 and series 66 exams. Determining which exam you should take will depend on your particular circumstances. Usually students who have passed or are planning to pass the series 7 opt to take the series 66 in lieu of the series 63 exam. This allows the agent to... "Should I take the series 65 or series 66 exam ?"

Here is some great information on dividend valuation models and statistical analysis to help you pass your series 65 exam Dividend Valuation models A fundamental analysts may use a dividend valuation model to determine a fair valuation for an equity security and to determine if an investment is warranted The two dividend valuation models most... "Series 65 Security Valuation and Analysis"

Here is what you need to know about TIPS, Eurobonds and credit default swaps or CDS to pass your FINRA Exams Treasury Inflation Protected Securities or TIPS are direct obligations that are designed to protect investors from the negative impact of inflation. A conservative investor purchases a TIP with a coupon rate of 4 percent.... "What you need to know about TIPS, Eurbonds and CDS to pass your Exam"

A very important test topic to master for you upcoming series 65 exam is what appears on Form ADV and how its various parts are used. An investment adviser will begin its formal registration process by filling out Form ADV. The ADV form will provide detailed information regarding the investment adviser and it is comprised... "What you Must Know About Form ADV to Pass The Series 65 Exam"

Here is some great information on how trusts may be tested on your series 65 exam. Trusts may be revocable or irrevocable. With a revocable trust, the individual who established the trust and contributes assets to the trust, known as the grantor or settlor , may, as the name suggests, revoke the trust and take... "Series 65 Exam Tip"