Finra Series 65 FAQ
Answers to the most common questions about the Series 65 exam.
How to get your Series 65
The Series 65 does not have any prerequisites, and you do not need to be employed by or sponsored by a FINRA member firm in order to register for and take the exam. However, the Series 7 is often considered a "co-requisite" for many financial advisor roles.
What's covered on the Series 65?
The Series 65 exam, known formally as the Uniform Investment Adviser Law Exam, covers the laws, regulations, ethics, strategies, and various topics important to the role of a financial adviser and offering financial advice. Passing the Series 65 (or the Series 66, which contains much of the material of the Series 65) is required for individuals to act as investment advisers in the US.
Despite commonly being called the "FINRA Series 65" it is more accurately a North American Securities Administrators Association (NASAA) exam administered by FINRA.
Topic
Test questions
Economic Factors and Business Information
20 (15%)
Investment Vehicle Characteristics
32 (25%)
Client Investment Recommendations and Strategies
39 (30%)
Laws, Regulations, and Guidelines
39 (30%)
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