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  2. Uniform Investment Adviser Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Investment_Adviser...

    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. To pass the ...

  3. Series 65: Definition and Exam Information - AOL

    www.aol.com/news/series-65-definition-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 ...

  4. List of securities examinations - Wikipedia

    en.wikipedia.org/.../List_of_securities_examinations

    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; Series 55 – Equity Trader – Limited Representative Exam; Series 56 – Proprietary Trader Qualification Exam; Series 57 ...

  5. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    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 ...

  6. Financial adviser - Wikipedia

    en.wikipedia.org/wiki/Financial_adviser

    A Registered Investment Adviser (RIA) refers to an IA that is registered with the SEC or a state's securities agency and typically provides investment advice to a retail investor or registered investment company such as a mutual fund, or exchange-traded fund. Registered Investment Advisors are regulated by either the SEC or by the individual ...

  7. Uniform Combined State Law Exam - Wikipedia

    en.wikipedia.org/.../Uniform_Combined_State_Law_Exam

    A score of at least 73% on the Series 66 exam is needed to pass and become eligible for registration as a Registered Investment Adviser Representative. Prior to July 1, 2016, candidates had to attain scores of 75% in order to pass and prior to January 1, 2010, candidates had to attain scores of 71% in order to pass.

  8. Uniform Securities Agent State Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Securities_Agent...

    The examination is designed to qualify candidates as securities agents in the United States; nearly all states require individuals to pass the Series 63 as a condition of state registration. The Uniform Securities Agent State Law Examination consists of 65 multiple-choice questions. Applicants are allowed 75 minutes to complete the examination.

  9. T. Rowe Price - Wikipedia

    en.wikipedia.org/wiki/T._Rowe_Price

    T. Rowe Price Group, Inc. is an American publicly owned global investment management firm that offers funds, subadvisory services, separate account management, and retirement plans and services for individuals, institutions, and financial intermediaries. [4]