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Category: Series 65 Exam Prep

 

Understanding The Role Of The Investment Adviser

By Securities Institute Staff
Understanding The Role Of The Investment Adviser For The Series 65 ExamThe Uniform Investment Adviser Law Examination One of the keys to passing the Series 65 exam is to make sure that you have a complete understanding of how the role of the investment adviser will be tested on the Series 65 Exam. This article... "Understanding The Role Of The Investment Adviser"

Mastering Advanced Portfolio Concepts

By Securities Institute Staff
Mastering Advanced Portfolio Concepts On The Series 65 ExamThe Uniform Investment Adviser Law Examination One of the keys to passing the Series 65 exam is to make sure that you have a complete understanding of how advanced portfolio concepts will be tested on the Series 65 Exam. This article which was produced from material contained... "Mastering Advanced Portfolio Concepts"

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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