Category: Series 65 Exam Prep

Investment advisers serve different types of clients. Some are individuals; others are estates or large charitable trusts. Many advisers provide investment advice to businesses of various sizes and structures. Understanding these structures is crucial for the Series 65 exam, as questions often test knowledge about client types and their implications for liability, taxation, and investment... "Types of Clients Tested on The Series 65 Exam"

How to Pass the Series 65 Examand become an Investment Adviser Representative What is the best way to prepare for the Series 65 exam? We get asked this question all the time. The answers is that, while everyone learns in a different way, there are certain steps that everyone must take to pass the Series... "How To Pass The Series 65 Securities Exam"

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"

Understanding Economics And Analysis 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 economics and analysis will be tested on the Series 65 Exam. This article which was produced from material contained... "Understanding Economics And Analysis"

Mastering Bond Pricing 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 bond pricing will be tested on the Series 65 Exam. This article which was produced from material contained in our... "Mastering Bond Pricing"

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"

In this article we will examine what you need to know about Trust and Estates to pass your FINRA exam. You can expect to see a number of questions covering these topics on the SIE, Series 7, Series 65 and series 66 exams.  Estate Planning Techniques When someone dies, the individual is referred to as... "FINRA Exam Prep Trusts and Estates"

In  this article we are going to cover everything you need to know about retirement plans and how they will be tested on your FINRA Exam Retirement Plans In a taxable account, the account balance is reduced annually when the investor is taxed on interest, dividends, and capital gains. In a tax-deferred account, however, the... "All About Retirment Plans"

In the more than 25 years of helping financial services professionals pass more than 400,000 exams, we have had students tell us every possible scenario dreamed up by test takers who have “heard” stories about how FINRA exams are administered. The top 5 myths and misconceptions are as follows: Myth # 1: If you fail... "The Top 5 FINRA Exam Myths"

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"