FINRA Series 65 – Exam Information

The Uniform Investment Adviser Law Examination is developed by NASAA, The North American Securities Administrators Association. The Series 65 exam, is designed to qualify candidates as investment adviser representatives.

Enrollment Fee:

$135 US. Note that this is the examination enrollment fee ONLY–other fees may also apply.

Prerequisite:

There are no prerequisites for registration. If registering as an individual, you must complete Form U-10.

Format:

Multiple Choice

Number Of Questions:

Objective
# Questions
Ethics and Legal Guidelines
40
Economics and Analysis
19
Investment Vehicles
31
Investment Recommendations and Strategies
40
TOTAL
130

 

Each candidate will be allowed 180 minutes to complete the examination. This time limit has been designed to provide enough time for all candidates to complete the exam. A score of 72% or higher is required to pass the Series 65 exam.

 

The examination is conducted as a closed book test. Upon completion of the examination, the score for each section and the overall test score will immediately be made available to the candidate.


Series 65 Exam Textbook

Paperback 516 pages 201 test questions Published January 2019

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Series 65 Exam Prep Software

Over 1600 questions Works with all major browsers and mobile devices

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