Series 65 Exam Study Guide
Complete review for the NASAA Series 65 Uniform Investment Adviser Law examinationBy Marie Peterson
Length9h 3m
About this audiobook
Walk into the NASAA Series 65 exam ready for every question. This complete study guide gives Investment Adviser Representative candidates a clear review of every topic the exam tests, plus 600 original practice questions, each with a full written explanation. Questions are scenario-based, from adviser law to portfolio math, and every explanation shows why the correct answer is right and why each wrong choice is a trap. Covers economic factors, investment vehicles, portfolio theory and management, client suitability, the Investment Advisers Act and state registration, and fiduciary and ethical obligations. Includes 2 full-length practice exams with complete answer keys. An independent study aid, not affiliated with or endorsed by FINRA or NASAA.
Audiobook details
GenreEducation and Learning
Length9 hrs 3 mins
Narrated byListen with 1,000+ voices
FormateBook with Audio
LanguageEnglish
Table of contents
1Front Matter
8Unit 5: Portfolio Management, Taxation, Retirement Plans, and Trading
2How to Use This Book and About the Exam
9Unit 6: Investment Advisers Act and Uniform Securities Act Registration
3Test-Taking Strategies for the Series 65
10Unit 7: Ethical Practices and Fiduciary Obligations
4Unit 1: Economic Factors and Business Information
11Unit 8: Administrative Provisions, Prohibited Practices, and Synthesis
5Unit 2: Investment Vehicle Characteristics
12Full-Length Practice Exams
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6Unit 3: Client Recommendations and Portfolio Strategies
13Quick Reference
7Unit 4: Types of Clients and Suitability
14Conclusion
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