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Series 65 Online Exam Prep Course Agenda

Online Course: ID# 1005868

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
Order:
Series 65 Online Exam Prep Course
Pricing:
$229.95
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