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
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