FINRA Series 65 Tutoring

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Series 65 EXAM Overview

Individuals who want to be an investment adviser representative must take the Series 65 exam covering:

• Economic factors and business information (15%): basic economic concepts, financial reporting, analytical methods, types of risk
• Investment vehicle characteristics (25%): types and characteristics of cash and equivalents, types of fixed income securities, valuation factors of fixed income securities, types and characteristics of equity securities, valuing equity securities, types and characteristics of pooled investments like ETFs or mutual funds, type and characteristics of derivatives, insurance-based products, and alternatives investments
• Client/customer investment recommendations and strategies (30%): types of clients, customer profiles, capital market theory, portfolio management theories, styles, and techniques, tax considerations, retirement plans, ERISA issues, estate planning, trading securities, measuring portfolio performance
• Laws, regulations, and guidelines, including prohibition on unethical business practices (30%): investment advisor regulation, broker-dealer regulation, agents of broker dealers, regulation of securities and issuers, remedies, communication with clients, ethical practices and fiduciary obligations

For a more detailed exploration of the concepts covered on the Series 65 exam, visit finra.org.