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.
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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