Series 65
flashcards
Decks in class (39)
# Cards
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Domain 1: Economic Factors & Business Information (15%)1
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1.A Basic Economic Concepts10
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1.B Financial Reporting10
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1.C Analytical Methods10
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1.D Types of Risks10
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Domain 2: Investment Vehicle Characteristics (25%)1
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2.A Types and Characteristics of Cash and Cash Equivalents10
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2.B Types of Fixed Income Securities0
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2.C Characteristics and Valuation Factors of Fixed Income Securities0
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2.D Types of Equity Securities0
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2.E Characteristics of Equity Securities0
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2.F Methods Used to Determine the Value of Equity Securities0
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2.G Characteristics of Pooled Investments0
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2.H Types of Derivative Securities0
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2.I Characteristics of Derivative Securities0
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2.J Alternative Investments0
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2.K Insurance Based Products0
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2.L Other Assets0
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Domain 3: Client Investment Recommendations & Strategies (30%)1
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3.A Type of Client0
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3.B Client Profile0
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3.C Capital Market Theory0
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3.D Portfolio Management Strategies, Styles and Techniques0
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3.E Tax Considerations0
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3.F Retirement Plans0
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3.G Employee Retirement Income Security Act (ERISA) Issues0
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3.H Special Types of Accounts0
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3.I Ownership and Estate Planning Techniques0
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3.J Trading Securities0
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3.K Portfolio Performance Measures0
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Domain 4: Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices (30%)0
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4.A Regulation of Investment Advisers, Including State-Registered Advisers and Federal Covered Advisers0
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4.B Regulation of Investment Adviser Representatives0
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4.C Regulation of Broker-Dealers0
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4.D Regulation of Broker-Dealer Agents0
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4.E Regulation of Securities and Issuers0
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4.F Remedies and Administrative Provisions0
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4.G Communication with Clients and Prospects0
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4.H Ethical Practices and Fiduciary Obligations0
