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Category: Series 66 Exam Prep

 

Understanding Broker Dealer And Agent Registration

By Securities Institute Staff
Understanding Broker Dealer And Agent Registration On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how broker dealer and agent registration will be tested on the Series 66 Exam. This article which was... "Understanding Broker Dealer And Agent Registration"

Mastering The Role Of The Investment Adviser

By Securities Institute Staff
Mastering The Role Of The Investment Adviser On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how investment recommendations will be tested on the Series 66 Exam. This article which was produced from... "Mastering The Role Of The Investment Adviser"

Mastering Investment Recommendations

By Securities Institute Staff
Mastering Investment Recommendations On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how investment recommendations will be tested on the Series 66 Exam. This article which was produced from material contained in our... "Mastering Investment Recommendations"

How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams

By Securities Institute Staff
In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients.  The SEC has modernized the advertising rules for investment advisers. The new rule sets standards regarding the use of testimonials, performance-based presentations and the use of third-party rating systems. The term advertisement as defined under... "How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams"
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