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Series 65/66 – Risk and Evaluation, Part II
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The Series 65 examination – the Uniform Investment Adviser Law – developed by NASAA and administered for NASAA by FINRA, evaluates an entry-level proficiency to provide investment advice to clients and in understanding the principles of state securities regulations reflected in the Uniform Securities Act with NASAA rule amendments prohibiting dishonest and unethical business practices. The exam provides state securities administrators with a basis to evaluate an applicant’s knowledge and understanding of state law and regulations.
The Series 66 examination – the Uniform Combined State Law – developed by NASAA and administered for NASAA by FINRA, evaluates entry-level proficiency to provide investment advice and effect securities transactions for clients, as well as understanding the principles of state securities regulations reflected in the Uniform Securities Act with NASAA rule amendments prohibiting dishonest and unethical business practices. The exam provides state securities administrators with a basis to evaluate an applicant’s knowledge and understanding of state law and regulations.
This tutorial, available to students registered for Series 65 and Series 66 exam prep with NRS FIRE and will cover the subject of Risk & Evaluation.
For more information on our NRS Securities Licensing Exam prep, visit here.
To register for NRS Securities Licensing Exam Prep, go here.
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 66 Exam Details
Corequisite: Series 7
Exam Format: 100 multiple-choice questions
Exam Duration: 2 hours, 30 minutes (150 minutes)
Passing Score: 73%
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 66 Exam Outline
| TOPIC DESCRIPTION | Percentage of Exam | No. Questions |
| Economic Factors and Business Information | 5% | 5 |
| Investment Vehicle Characteristics | 20% | 20 |
| Client/Customer Investment Recommendations and Strategies | 30% | 30 |
| Laws, Regulations, & Guidelines Including Prohibition on Unethical Business Practices | 45% | 45 |
| TOTAL | 100% | 100 |
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
Series 66 Study Materials
Modules: 10 chapters delivered in mobile-friendly, online and printable .pdf formats
Module Quizzes: Ten 20-question, module quizzes to gauge initial comprehension
Live Tutorials: Live, instructor led tutorials offered on a rotating calendar basis
OnDemand Tutorials: 10 mobile friendly OnDemand, recorded tutorials available 24/7
Bonus Tutorials:
- Introduction to the Series 66
- New Exam Topics
- Test taking tips to help you beat the test
Section Tests: Five 20-question, section tests
Final Exams: Six 100-question, weighted finals that simulate the Series 66 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 66 FIRE Drill App
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.
