The go-to guide to acing the Series 65 Exam!
Consisting of 130 multiple-choice questions in the areas of ethics and legal guidelines, investment strategies, investment vehicles, and economics and analysis, the Uniform Investment Adviser Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives.
An indispensable resource for anyone preparing to take this tough three-hour exam, Wiley Series 65 Exam Review 2020 was created by the experts at The Securities Institute of America, Inc. It arms you with what you need to score high and pass the Series 65 Exam on your first try. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it features:
- Dozens of examples
- Assorted practice questions for each subject area covered in the exam
- Priceless test-taking tips and strategies
- Helpful hints on how to study for the test, manage stress, and stay focused
Table of Contents
About The Series 65 Exam Xxi
About This Book xxv
About The Test Bank xxvii
About The Securities Institute of America xxix
Chapter 1 Equity Securities 1
Chapter 2 Corporate and Municipal Debt Securities 35
Chapter 3 Government and Government Agency Issues 69
Chapter 4 Investment Companies 81
Chapter 5 Variable Annuities and Retirement Plans 115
Chapter 6 Fundamental and Technical Analysis 151
Chapter 7 Economic Fundamentals 171
Chapter 8 Recommendations, Professional Conduct, and Taxation 189
Chapter 9 Securities Industry Rules and Regulations 231
Chapter 10 Trading Securities 259
Chapter 11 Options 285
Chapter 12 Definition of Terms 313
Chapter 13 Registration of Broker Dealers, Investment Advisers, and Agents 333
Chapter 14 Securities Registration, Exempt Securities, and Exempt Transactions 359
Chapter 15 State Securities Administrator: The Uniform Securities Act 375
Answer Keys 393
Glossary of Exam Terms 407
Index 473
