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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.
The Series 65, also known as the Uniform Investment Adviser Law Examination, is a test and license required of most financial professionals. If you're interested in becoming a financial ...
Series 63 – Uniform Securities Agent State Law Exam* Series 65 – Uniform Investment Adviser Law Exam* Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)* Series 72 – Government Securities – Limited Representative; Series 79 – Investment Banking Exam; Series 82 – Private Securities Offerings – Limited Representative
To secure the designation, applicants must have three years of full-time business experience within the preceding five years and must complete nine college-level courses; the award is also contingent on adherence to a set of ethical guidelines. The designation exempts one from sitting the Series 65 examination.
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The Series 9 and Series 10 exams assess the attributes a general securities sales supervisor needs for their job. They are administered by the Financial Industry Regulatory Authority (FINRA). They ...
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