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Series 65 Exam Details

The NASAA Series 65, Investment Advisers Law 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.

 

None

130 multiple-choice questions

3 hours

Outline of Topics Covered

  • Economic Factors and Business Information
  • Investment Vehicle Characteristics
  • Client Investment Recommendations and Strategies
  • Laws, Regulations, and Guidelines, including Prohibition on Unethical Business Practices

 

Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.

 

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

 

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

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Begin Preparing for the Series 65 Exam

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Our most comprehensive study package, the Premium Package, has everything you need to effectively prepare for your qualification exam, including guidance from an experienced instructor.

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The Essential Self-Study Package gives you the flexibility of studying on your schedule. Planning your exam preparation is made simple with our customizable Study Calendar that schedules daily tasks based on your study time frame and exam date.

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Self-Study Option

The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.