FINRA Series 66 Tutoring

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Series 66 EXAM Overview

Individuals who want to enter the securities industry as securities agents or investment adviser representatives must take the Securities Industry Essentials (SIE) exam followed by the Series 7 and Series 66 exam covering:

• Economic factors and business information (5%): time value of money/IRR, etc., descriptive statistics (e.g., mean, median, correlation), financial ratios and uses (e.g., current ratio, quick ratio, etc.), and valuation ratios (e.g., P/E)
• Investment vehicle characteristics (20%): valuation factors of fixed income securities, valuation factors of equity securities, evaluation of pooled investment vehicles, futures, alternative investments, insurance products, other assets
• 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 (45%): 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 66 exam, visit finra.org.