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Exam Prep - Series 65 Exam

An exam administered by the Financial Industry Regulatory Authority (FINRA) (previously the National Association of Securities Dealers (NASD)). Completion of the Series 65 Exam will qualify an investment professional to operate as an Investment Advisor Representative in certain states. The exam focuses on topic areas that are important for an investment advisor to know when providing investment advice. These areas include topics such as retirement planning, portfolio management strategies, and fiduciary obligations.
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Exam Information
Time Limit: Three hours
Number of Questions: 140 questions, 10 of which are pretest questions which will not count toward the final mark. Note that the exam does not indicate which questions these are.
Passing Score: 68.5%
Format: Multiple Choice
Exam Enrollment Fee: $120 US as of August 2006. Note that this is the examination enrollment fee ONLY--other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Prerequisites: You do not have to be sponsored or employed by a member firm. If registering as an individual, you must complete Form U-10 (pdf).
Exam Date(s): Any day of the week, excluding Sundays
Exam Locations: Find your U.S. or international exam center here.
Official Exam Website: http://www.nasaa.org
Exam Online Study Guide
Series 65 Online Study Guide
Series 65 Exam Guide- Pass the Series 65 Exam and become a registered investment advisor with our Free Online Study Guide- Click Here
Additional Exam Details
For an in-depth breakdown of Series 65 exam topics,refer to the study outline provided by the NASAA here (PDF).
Terms to Know
Question of the Week
Your client, Todd, owns 100 shares HAT stock in his taxable stock portfolio. The stock has been inactive for the last year and Todd expects it to have another sluggish year ahead. To help Todd increase his return on the stock and reduce risk, you would recommend which of the following strategies?

a) Sell a call on HAT stock
b) Buy a put on HAT stock
c) Sell a put on HAT stock
d) Buy a call on HAT stock
Answer
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