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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.

  3. List of securities examinations - Wikipedia

    en.wikipedia.org/wiki/List_of_securities...

    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; Series 55 – Equity Trader – Limited Representative Exam; Series 56 ...

  4. 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 ...

  5. Financial adviser - Wikipedia

    en.wikipedia.org/wiki/Financial_adviser

    A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory body in order to provide advice.

  6. 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 ...

  7. 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.

  8. TD Securities - Wikipedia

    en.wikipedia.org/wiki/TD_Securities

    TD Securities operates across North America, Europe, and Asia-Pacific. Key areas of business include managing corporate finance and lending, merger and acquisitions strategic advisory services, market risk management, debt and equity securities, derivative products, daily trading and investment, and multiple other areas of finance.

  9. Series 7 exam - Wikipedia

    en.wikipedia.org/wiki/Series_7_Exam

    The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]

  1. Related searches td mutual funds advisor series 65 exam prep group on facebook

    td mutual funds advisor series 65 exam prep group on facebook page