Series 65


Series 65 – Uniform Investment Adviser Law Exam

The Series 65 Exam is required by most states for individuals to register as investment advisers (IAs) or investment adviser representatives (IARs) within those states. The exam is developed and maintained by the North American Securities Administrators Association (NASAA) and administered by FINRA.

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Series 65 Exam Preparation training can help you get your career started.

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Series 65 Exam Details

Exam Format: 130 multiple-choice questions
Exam Duration: 3 hours (180 minutes)
Passing Score: 72% (94 correct of 130)

Broker-dealer Sponsorship: not required

Series 65 Exam Outline

TOPIC DESCRIPTION Percentage of Exam No. Questions
Economic Factors and Business Information 15% 20
Investment Vehicle Characteristics 25% 32
Client Investment Recommendations and Strategies 30% 39
Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices 30% 39
TOTAL 100% 130

Series 65 Study Materials

Modules: 20 chapters delivered in mobile-friendly, online and printable .pdf formats
Module Quizzes: Twenty 20-question, module quizzes to gauge initial comprehension
Live Tutorials: Live, instructor led tutorials offered on a rotating calendar basis
OnDemand Tutorials: 14 mobile friendly OnDemand, recorded tutorials available 24/7
Bonus Tutorials:

  • Introduction to the Series 65
  • New Exam Topics
  • Test taking tips to help you beat the test

Section Tests: Four 20-question, section tests
Final Exams:

  • Four 100-question, weighted finals
  • Four 130-question, weighted finals that simulate the Series 65 exam

Green Light Status Indicator: Know with confidence your level of preparedness
Remediation:

  • Suggested Study Plan: System-generated study plan based on incorrect answers on initial assessments. Includes a custom suggested study plan assessment containing actual missed questions from final exams.
  • Custom Assessments: Create unlimited, 20 or 50-question, custom exams from any number of modules. Feature unlocks when final exams are completed.

Instructor Access: Unlimited email/phone access to our expert NRS Exam Prep instructors
FIRE Drill App: Access to additional practice questions in our free Series 65 FIRE Drill App

Price: $210

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No Pass/No Pay

Candidates who correctly complete our program and achieve our designated “Green Light” average score on their practice final exams go on to pass their actual FINRA/NASAA exams. We are so confident that we offer candidates a “NO-PASS, NO-PAY” guarantee. We will refund full tuition to any “Green Light” student who does not pass their actual FINRA/NASAA exam.*

*The NRS Exclusive NO-PASS, NO-PAY Guarantee: To qualify for a refund, you must complete all course materials: Read all modules, attend all tutorials, take all quizzes and tests, and achieve an average score on your first attempt final exams of 3% over the passing score requirement for your FINRA/NASSA exam. Refund applies to online course fees only.

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam.
Candidates must present valid, current, government issued photo identification. This includes

  • Passport
  • Driver’s License
  • Military ID

Student IDs are NOT accepted by Prometric.