Introduction
Whether an IA is trading securities directly for a client or simply placing orders with a brokerage, a firm understanding of issues pertaining to securities trading is required.


This is the last section of the Series 65 study guide. A sample final exam is also provided. Be sure to review the topics underlying any questions you've answered incorrectly. Good Luck!


Securities Terminology

Related Articles
  1. Investing

    The Series 79 Exam: What It Is And When You Need It

    If you're getting into the field of investment banking, you'll need to know all about the Series 79.
  2. Investing

    Series 63, Series 65 Or Series 66?

    When joining the world of investment professionals, you must take the right exams.
  3. Professionals

    Succeeding At The Series 63 Exam

    Your career as a securities agent begins with this test. We'll show you how to score high.
  4. Personal Finance

    Tips For Passing The Series 6 Exam

    Find out what you can do during the test to make sure you get a passing score.
  5. Professionals

    What to Expect on the CFA Level I Exam

    The Level I exam for the Chartered Financial Analyst designation can be challenging. Here's what to expect.
  6. Investing

    What is the Series 66?

    The Series 66 exam is one of two tests required to register as both a securities agent and an investment advisor.
  7. Professionals

    What To Expect On The CFA Level II Exam

    This article will help you understand the nuances of the CFA Level II exam.
  8. Managing Wealth

    Introduction To The Series 65 Exam

    The Series 65 is required in many states in order to be a fee-based advisor. Find out what it is and whether you need it.
  9. Professionals

    The Difference Between Series 63, 65 and 66

    After passing the first core examination, usually the FINRA Series 6 or Series 7, one hurdle remains. That’s the Series 63, 65 or 66.
  10. Professionals

    Prepare For Your CFA Exams

    Find out how to get yourself ready for these lengthy and often daunting exams.
Trading Center