Agenda

About the Series 65 Exam

The Series 65 exam is broken down into four parts (by content area). These topics include:

• Economic factors and business information
• Investment vehicle characteristics
• Client investment recommendations and strategies
• Laws, regulations and guidelines, including prohibition or unethical business practices

What’s Covered By This Course

Investment Vehicle Characteristics

• Basic economic concepts
• Financial reporting
• Quantitative methods
• Types of risk

Economic Factors and Business Information

• Types and characteristics of cash and cash equivalents
• Types and characteristics of fixed income securities
• Methods used to determine the value of fixed income securities
• Types and characteristics of equity securities
• Methods used to determine the value of equity securities
• Types and characteristics of pooled investments
• Methods used to determine the value of pooled investments
• Types and characteristics of derivative securities
• Alternative Investments
• Insurance-based products

Client Investment Recommendations and Strategies

• Type of client
• Client profile
• Capital Market Theory
• Portfolio management styles and strategies
• Portfolio management techniques
• Tax Considerations
• Retirement plans
• ERISA issues
• Special types of account
• Trading securities
• Performance measures

Laws, Regulations, and Guidelines, including Prohibition on Unethical

• Business Practices
• State and Federal Securities Acts and related rules and regulations
• Ethical practices and fiduciary obligations