Ads
related to: series 65 exam cheat sheet pdf printable pages
Search results
Results from the WOW.Com Content Network
Each Series 65, Uniform Investment Adviser Law Examination, contains a total of 140 questions. One hundred thirty (130) of the questions count toward whether the candidate passes or fails the Series 65 exam. The other 10 questions are pretest and could appear in any position within the exam but do not count towards the final grade.
Series 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor Representative Exam; Series 52 – Municipal Securities Representative Exam ...
Continue reading ->The post Series 65: Definition and Exam Information appeared first on SmartAsset Blog. The Series 65, also known as the Uniform Investment Adviser Law Examination, is a test and ...
Language links are at the top of the page across from the title.
For premium support please call: 800-290-4726 more ways to reach us
An IA must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940.This standard requires IAs to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA ...
Ads
related to: series 65 exam cheat sheet pdf printable pages