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Note: Supplemental materials are not guaranteed with Rental or Used book purchases.
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The go-to guide to acing the Series 65 Exam! Consisting of 130 multiple-choice questions in the areas of ethics and legal guidelines, investment strategies, investment vehicles, and economics and analysis, the Uniform Investment Adviser Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives. An indispensable resource for anyone preparing to take this tough three-hour exam, Wiley Series 65 Exam Review 2020 was created by the experts at The Securities Institute of America, Inc. It arms you with what you need to score high and pass the Series 65 Exam on your first try. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it features:
The Securities Institute of America, Inc. has an 18 year track record for excellence in securities exam training. Jeffrey Van Blarcom author from The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year Learn more at : https://securitiesce.com
Wiley empowers learners, researchers, universities, and corporations to achieve their goals in an ever-changing world. For over 200 years, Wiley has been helping people and organizations develop the skills and knowledge they need to succeed. Wiley develops digital education, learning, assessment, and certification solutions to help universities, businesses, and individuals move between education and employment and achieve their ambitions. By partnering with learned societies, we support researchers to communicate discoveries that make a difference. Our online scientific, technical, medical, and scholarly journals, books, and other digital content build on a 200-year heritage of quality publishing.
About The Series 65 Exam Xxi
About This Book xxv
About The Test Bank xxvii
About The Securities Institute of America xxix
Chapter 1 Equity Securities 1
Chapter 2 Corporate and Municipal Debt Securities 35
Chapter 3 Government and Government Agency Issues 69
Chapter 4 Investment Companies 81
Chapter 5 Variable Annuities and Retirement Plans 115
Chapter 6 Fundamental and Technical Analysis 151
Chapter 7 Economic Fundamentals 171
Chapter 8 Recommendations, Professional Conduct, and Taxation 189
Chapter 9 Securities Industry Rules and Regulations 231
Chapter 10 Trading Securities 259
Chapter 11 Options 285
Chapter 12 Definition of Terms 313
Chapter 13 Registration of Broker Dealers, Investment Advisers, and Agents 333
Chapter 14 Securities Registration, Exempt Securities, and Exempt Transactions 359
Chapter 15 State Securities Administrator: The Uniform Securities Act 375
Answer Keys 393
Glossary of Exam Terms 407
Index 473
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