- Chapter 1 - 5
- 1. Regulation of Investment Advisors
- 1.1 Introduction
- 1.2 Who Must Register As An Investment Adviser?
- 1.3 Exclusions from IA Registration
- 1.4 SEC Investment Adviser Releases IA 770 & 1092
- 1.5 State Registered Investment Advisers
- 1.6 Federal (SEC) vs. State Registration
- 1.7 State Registration Process
- 1.8 Federally Registered Investment Advisers
- 1.9 Investment Adviser Representatives (IARs)
- 2. Regulation of Broker-Dealers and Securities
- 3. Remedies and Administrative Provisions
- 4. Client Communication and Compensation
- 5. Handling Client Funds
- 1. Regulation of Investment Advisors
- Chapter 6 - 10
- 6. Quantitative Methods of Evaluating Businesses and Investments
- 7. Conflicts of Interest
- 8. Cash Equivalents and Fixed Income Securities
- 9. Stocks and Mutual Funds
- 10. Alternative Investments
- Chapter 11 - 15
- 11. Analyzing Your Client's Financial Profile
- 12. Portfolio Management
- 13. Taxation Issues
- 14. Retirement Plans
- 15. Basic Economic Concepts
- Chapter 16 - 17
Alternative Investments - Introduction
There are a number of alternative investments of which an investment adviser should be aware. The number of Series 65 exam questions on these topics will be limited, therefore, this section will cover the issues most likely to be tested on the exam.
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