FINRA Series 65 Exam Prep & Study Materials
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Series 65 Exam Prep Course
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Series 65 Course Curriculum
Lesson 1
01 - Introduction
Lesson 2
02 - Registration of Persons
Lesson 3
03 - Registration of Securities
Lesson 4
04 - The Administrator
Lesson 5
05 - Ethics and Communicating with Customers
Lesson 6
06 - State Law Review
Lesson 7
07 - Investment Advisers (Advanced Content) and Federal Securities Law
Lesson 8
08 - Investment Vehicles
Lesson 9
09 - Economic Factors and Business Information
Lesson 10
10 - Client Accounts, Recommendations, and Investment Strategies
Lesson 11
11 - Taxiation
Lesson 12
12 - Trading Securities, Margin, and Investment Performance
Lesson 13
13 - Annuities
Lesson 14
14 - Tax-Advantaged Accounts - Retirement and Education
Lesson 15
15 - Series 65 and 66 Wrap-Up
Lesson 16
16 - FLASHCARDS - Series 65 Introduction, USA, broker-dealers, agents, security registration, and exemptions, and fraud
Lesson 17
17 - FLASHCARDS - Investment Advisers, Ethical Business Practices, Powers of the Administrator, State Law Wrap-up
Lesson 18
18 - FLASHCARDS - Characteristics and Features of Securities - Equities and Fixed Income
Lesson 19
19 - FLASHCARDS - Characteristics and Features of Securities - Investment Companies, Insurance Company Products, Alternatives and Derivatives
Lesson 20
20 - FLASHCARDS - Trading Equities, Retirement Plans, Customer Accounts
Lesson 21
21- FLASHCARDS - Security Analysis, Making Recommendations, Tax, Economics and Analysis, and Federal Law
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Aroure L.

"Thank you for everything, your classes were great and the time you spent to answer my questions really helped me to be efficient and confident during the exams."

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Can I just take the Series 65 class even though I am not sponsored?

You are not required to have a sponsor to take the Series 65 Exam.

How soon after the Series 65 class should I take my exam?

If you come to class having read the material you should give yourself about one week to complete practice exams after the conclusion of the program before taking the examination.  If you have not read the material before coming to class you will need more time after class ends.

Should I read the Series 65 book before class?

Though it is not mandatory to read the material before coming to class, doing so will enable you to reinforce the concepts discussed in the book.  If you have not read the material prior to class you will need more time after class to prepare before you take the examination.

What is the usual study time for the Series 65 Exam?

Assuming you are working full time while preparing for the examination, you should allow yourself two to three weeks to read through the material and another two to three weeks to complete practice exams.  You should attend the live class, watch the online KIT or receive private instruction one to two weeks prior to the examination.   The total study time is typically four to six weeks.

Should I expect to use the full time allotted on the Series 65 Exam?

Most students are able to finish the exam within the alloted time, without being rushed.

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