SERIES 65
Uniform investment adviser law exam
FIRST STEP TO A CAREER IN THE SECURITIES INDUSTRY - Investment adviser side
The Series 65 is required by most states for individuals to register as investment advisers (IAs) or investment adviser representatives (IARs) within those states. The exam is developed and maintained by the North American Securities Administrators Association (NASAA) and administered by FINRA. The Series 65 tests the following information: Economic factors and business information; investment vehicle characteristics; client investment recommendations and strategies; and laws, regulations and guidelines including prohibition on unethical business practices.
Exam details
Exam Format: 130 multiple-choice questions
Exam Duration: 3 hours (180 minutes)
Passing Score: 72% (94 correct of 130)
Broker-dealer Sponsorship: not required
exam outline
Study course
Series 65
Modules: 20 chapters delivered in mobile-friendly, online and printable .pdf formats
Module Quizzes: 20 20-question, module quizzes to gauge initial comprehension
Live Tutorials: Live, instructor-led tutorials offered on a rotating calendar basis
OnDemand Tutorials: 20 mobile-friendly, OnDemand tutorials available 24/7
Bonus Tutorials:
Introduction to the Series 65
New Exam Topics
Test Taking Tips to help you beat the test
Section Tests: Four 20-question, section tests
Final Exams:
Four 100-question, weighted finals
Four 130-question, weighted finals that simulate the Series 65 exam
Green Light Status Indicator: Know with confidence your level of preparedness
Remediation:
Suggested Study Plan: System-generated study plan based on incorrect answers on initial assessments. Includes a custom suggested study plan assessment containing actual missed questions from final exams.
Custom Assessments: Create unlimited, 20 or 50-question, custom exams from any number of modules. Feature unlocks when final exams are completed.
Instructor Access: Unlimited email/phone access to our expert NRS Exam Prep instructors
FIRE Drill App: Access to additional practice questions in our free Series 65 FIRE Drill App
