Within this section we'll examine the legal and regulatory requirements relating to the investment adviser profession. The material presented over the following three chapters will comprise approximately 15% of the questions on your upcoming Series 65 exam.

Series 65: Textbooks,Software & Videos

Who Must Register As An Investment Adviser?

Related Articles
  1. Financial Advisor

    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.
  2. Financial Advisor

    Series 65 Exam Prep: The Investment Advisor

    Before you take the series 65, you need to understand who is an investment advisor as defined by the exam.
  3. Financial Advisor

    Series 63, Series 65 Or Series 66?

    When joining the world of investment professionals, you must take the right exams.
  4. Financial Advisor

    Series 7 Exam Prep: Options

    One of the most challenging topics in the series 7 exam is options. Find out what you need to know before you take the test.
  5. Personal Finance

    Prepare For Your CFA Exams

    Find out how to get yourself ready for these lengthy and often daunting exams.
  6. Personal Finance

    The Securities Industry Essentials Exam (SIE)

    The Securities Industry Essentials Exam (SIE) is a new exam being introduced by FINRA to replace parts of the Series 6, Series 7, Series 22, Series 55 (57), Series 79, Series 82, Series 86/87, ...
  7. Financial Advisor

    Pass Your CFA Exams on the First Try

    Less than 20% of those who begin the Chartered Financial Analyst (CFA) designation reach the end. Become one of the elite who pass on the first try by using these simple study methods.
  8. Financial Advisor

    How Hard are the CFA Exams?

    Learn about the difficulty of the CFA exams with a description of the tests, some statistics on pass rates and suggestions that can help you pass the exams.
  9. Financial Advisor

    Series 66 Exam Prep: The Uniform Securities Act

    Before you take the series 66, you need to understand the Uniform Securities Act and the Blue Sky Laws.
  10. Personal Finance

    Tips for Taking the CFA Exam: Part 3

    Investopedia spoke with Peter Mackey, the head of exam development for the CFA Institute.
Frequently Asked Questions
  1. What Licenses Do Financial Advisors Need to Have?

    Understand why all financial advisors are required to be licensed, and identify the specific licenses that must be obtained ...
  2. When Is Managerial Accounting Appropriate?

    Understand the difference between managerial accounting and financial accounting. Learn common scenarios in which managerial ...
  3. Do ETFs Generate Capital Gains for Shareholders?

    Learn how exchange-traded funds (ETFs) can generate taxable capital gains for shareholders due to occasional and substantial ...
  4. Why is there a negative correlation between quantity demanded and price?

    Learn what the law of demand is, the basic assumption of the law of demand and why there is a negative correlation between ...
Trading Center