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Notice:
New NASD Rules For
Investment Advisers
Are you seeking to provide financial planning
advice
to your clients as
an Investment Adviser Representative? To do so, one first must be
licensed by passing either the NASD Series 65 or Series 66 licensing
exam.
Series 65
- The Uniform Investment Adviser Law Examination, widely referred to as
the Series 65 exam, is designed to qualify candidates as investment
adviser representatives. The exam covers topics that have been
determined to be necessary to understand in order to provide investment
advice to clients.
Series 66
- The Uniform Combined State Law Examination, widely referred to as the
Series 66 exam, is designed to qualify candidates as both securities
agents and investment adviser representatives. The exam covers topics
that have been determined to be necessary to provide investment advice
and effect securities transactions for clients. Please note, the NASD
Series 7 is a corequisite exam that needs to be successfully completed
in addition to the Series 66 exam before a candidate can apply to
register with a state. You may take either exam first but must complete
both satisfactorily.
There are a variety of exam prep solutions for each of these licensing
exams. As a result, candidates can choose from a variety of formats
depending on one's skill level, learning style, and schedule:
- Traditional
Classroom
This program blends the highly-effective instructional methodology of
self-study and classroom instruction for the Series
65, Series
66 and Series
7 licensing exams.
- Virtual
Classes
Students without access to a traditional classroom location can now
study anywhere, anytime with virtual classes for the Series
65, Series
66 and Series
7 licensing exams.
- Self
Study
Exam prep materials with extensive banks of practice test questions for
the Series
65, Series
66 and Series
7 licensing exams, and
more!
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