Series 66


DEFINITION of 'Series 66'

An exam administered by the Financial Industry Regulatory Authority (FINRA). Successful completion of the Series 66 exam is equivalent to successful completion of both the Series 63 and Series 65 exams.


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The Series 66, along with successful completion of the Series 7, qualifies an investment professional to register as a securities agent and investment advisor.

  1. Investment Advisers Act of 194 ...

    A piece of legislation passed in 1940 that, among other things, ...
  2. Series 7

    A general securities registered representative license administered ...
  3. North American Securities Administrators ...

    A voluntary organization, established in 1919, of securities ...
  4. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  5. Registered Investment Advisor - ...

    An advisor or firm engaged in the investment advisory business ...
  6. Investment Advisor

    As defined by the Investment Advisors Act of 1940, any person ...
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  1. Is a financial advisor required to have a degree?

    Financial advisors are not required to have university degrees. However, they are required to pass certain exams administered ... Read Full Answer >>
  2. Can I use my IRA to pay for my college loans?

    If you are older than 59.5 and have been contributing to your IRA for more than five years, you may withdraw funds to pay ... Read Full Answer >>
  3. Can I use my 401(k) to pay for my college loans?

    If you are over 59.5, or separate from your plan-sponsoring employer after age 55, you are free to use your 401(k) to pay ... Read Full Answer >>
  4. If I have only a limited amount of time to study for the Series 6, what should I ...

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