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Wiley FINRA Series 65 Exam Review 2017: The Uniform Investment Adviser Law Examination

Wiley FINRA Series 65 Exam Review 2017: The Uniform Investment Adviser Law Examination


ISBN: 978-1-119-40316-6

Feb 2017

516 pages



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 2017 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:

  • Dozens of examples
  • Assorted practice questions for each subject area covered in the exam
  • Priceless test-taking tips and strategies
  • Helpful hints on how to study for the test, manage stress, and stay focused

Wiley Series 65 Exam Review 2017 is your ticket to passing the Uniform Investment Adviser Law Examination—with flying colors!

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 149

chapter 7 Economic Fundamentals 169

chapter 8 Recommendations, Professional Conduct, and Taxation 187

chapter 9 Securities Industry Rules and Regulations 227

chapter 10 Trading Securities 253

chapter 11 Options 279

chapter 12 Definition of Terms 307

chapter 13 Registration of Broker Dealers, Investment Advisers, and Agents 327

chapter 14 Securities Registration, Exempt Securities, and Exempt Transactions 353

chapter 15 State Securities Administrator: The Uniform Securities Act 369

Answer Keys 387

Glossary of Exam Terms 401

Index 467