FINRA Series 65 Practice Exam & Test Questions - Topics
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Understanding the exact breakdown of the Series 65 Uniform Registered Investment Adviser Law Exam test will help you know what to expect and how to most effectively prepare. The Series 65 Uniform Registered Investment Adviser Law Exam has multiple-choice questions The exam will be broken down into the sections below:
| Series 65 Uniform Registered Investment Adviser Law Exam Exam Blueprint | ||
|---|---|---|
| Domain Name | % | Number of Questions |
| Economic Factors and Business Information | 14% | 11 |
| Basic economic concepts | ||
| Financial reporting | ||
| Quantitative methods | ||
| Types of risk | ||
| Investment Vehicle Characteristics | 24% | 18 |
| Types and characteristics of cash and cash equivalents | ||
| Types and characteristics of fixed income securities | ||
| Methods used to determine the value of fixed income securities | ||
| Types and characteristics of equity securities | ||
| Methods used to determine the value of equity securities | ||
| Types and characteristics of pooled investments | ||
| Methods used to determine the value of pooled investments | ||
| Types and characteristics of derivative securities | ||
| Alternative Investments | ||
| Insurance-based products | ||
| Client Investment Recommendations and Strategies | 31% | 24 |
| Types and characteristics of cash and cash equivalents | ||
| Types and characteristics of fixed income securities | ||
| Methods used to determine the value of fixed income securities | ||
| Types and characteristics of equity securities | ||
| Methods used to determine the value of equity securities | ||
| Types and characteristics of pooled investments | ||
| Methods used to determine the value of pooled investments | ||
| Types and characteristics of derivative securities | ||
| Alternative Investments | ||
| Insurance-based products | ||
| Client Investment Recommendations and Strategies | 31% | 24 |
| Type of client | ||
| Client profile | ||
| Capital Market Theory | ||
| Portfolio management styles and strategies | ||
| Portfolio management techniques | ||
| Tax Considerations | ||
| Retirement plans | ||
| ERISA issues | ||
| Special types of accounts | ||
| Trading securities | ||
| Performance measures | ||
| Laws, Regulations, and Guidelines, including Prohibition on Unethical Business Practices | 31% | 24 |
| State and Federal Securities Acts and related rules and regulations | ||
| Ethical practices and fiduciary obligations | ||
