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Securities > Exam Preparation > Course Details
Series 65 Investment Advisor
| 192902 | Textbook |
QLS | 16 |
$475.00 |
| Cram Course Materials |
| Series 65 Cram Course Series 65 Investment Advisors is a two (2) day exam prep course. First day of class we will cover key concepts in day YOU will review the Economic Factors and Business Information this section covers 15% of your exam or a total of 20 Questions; then we will cover Investment vehicle characteristics this section represents 25% which represents 32 question once you understand and know the types of cash or cash equivalents; types of fixed income securities; Factors of Fixed Income Securities; Types of Equity Securities; Day TWO - Client Investment Recommendations and Strategies importance of knowing your type of clients; their profile; tax considerations; retirement plans; ERICA issues; this section represents 30% of the exam for a total of 39 Question; last section of the exam will be dedicated to cover Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices; Regulation of Investment Advisers, Including State-Registered and Federal Covered Advisers; Regulation of Securities and Issuers; Remedies and Administrative Provisions(10) Question; Communication with Clients and Prospects; Ethical Practices and Fiduciary Obligations (11) Questions- this section represents 30% of the exam for a total of 39 Question. Book Included |
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