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SERIES 65 COURSE FOR
INVESTMENT ADVISER

The Uniform Investment Adviser Law examination is prepared by the North American Securities Administrators Association, Inc. (NASAA), and administered by the NASD. The examination consists of 130 multiple choice questions with 180 minutes allowed to complete the test. Investment adviser representatives must attain a passing score of 70%.

I. Economics and Analysis

20 questions

A. Understand basic economic concepts

B. Identify components of a business's financial statements to determine investment merits

C. Demonstrate understanding of quantitative methods to evaluate investments Identify risks (i.e. definitions, impact on the market, companies, and personal investments)

II. Investment Vehicles

26 questions

Evaluate cash and cash equivalents

Evaluate fixed income securities

Evaluate equity securities

Evaluate investment company securities

Recognize derivative securities and their benefits/risks

Understand unique aspects of international investing

Understand real estate partnerships and investment trusts (REITs) and variable annuities

III. Investment Recommendations and Strategies
39 questions

A. Determine and analyze the financial profile of the client to develop a suitable investment policy and strategy

B. Understand portfolio management strategies, styles, and techniques (fixed income and equities)

C. Recognize fundamental taxation issues

D. Recognize types of retirement plans and related issues

E. Define the fundamental terms and concepts of trading securities

F. Calculate performance

IV. Ethics and Legal Guidelines

45 questions

A. Understand relevant aspects of securities acts and other rules and regulations in order to comply as an investment adviser representative

B. Demonstrate ability to apply ethical practices

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