The most efficient way to prep for the Series 65 on the web, iPhone, or Android. Hundreds of detailed adaptive flashcards that use a study algorithm scientifically optimized to help you learn faster and remember for longer. All content is provided by Brainscape's partner, Knopman Marks.
The Series 65 is a regulatory exam required by most states to perform your job as an investment adviser representative. The exam tests all the different securities products, suitability issues, and analysis tools that investment advisers must understand in order to successfully do their jobs and appropriately advise their clients. The test also has a heavy emphasis on federal and especially state securities laws, with the goal of protecting the investing public against any fraudulent or unethical behavior.
The Series 65 exam is a 130-question test and as mentioned above is split between securities products and investment analysis and rules and regulations. Specifically, the law portion of the Series 65 exam accounts for 40 questions (31% of the test), while all the product knowledge makes up the remaining 90 questions (69% of the test).
One of the main challenges of the exam is that all the possible product information that you need to be familiar with is tested in only 90 questions. This makes the product portion of the exam extremely variable as you never quite know what topic or detail is going to appear.
For example, you might see zero questions on topics such as options and municipal bonds or you might see two or three questions on each. Therefore, even though you may be least familiar with the law information when beginning to prepare for the exam, mastering the rules and regulations is a worthwhile study investment as there is more certainty on what will be tested within that section.
With this in mind, Knopman Marks, a leader in exam preparation, with the highest pass rates in the industry, has curated these Brainscape flashcards as a study tool to help you ace your Series 65 exam.
These flashcards will allow you to drill down and memorize all the relevant state and federal laws, while simultaneously providing a broad-based, but also in-depth coverage of all of the products and investment analysis tools that you need to be familiar with.
The Knopman Marks content combined with Brainscape’s Confidence-Based Repetition study algorithm are perfectly designed to help you to memorize, as well as comprehend and retain the testable information.
The flashcards on this app provided by Knopman Marks are broken into six decks, each covering an essential component of the Series 65 content:
These flashcards will help you to drill down on the most important information. However, they are not meant to be a complete study solution, but instead meant to be used in conjunction with a textbook, course, and practice questions.
For the Series 65, it is essential to spend significant time revisiting the book when reviewing practice questions so that you get exposed to most of the testable topics at least twice.
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1 - USA, Broker-Dealers & Agents
This deck focuses on the registration requirements for broker-dealers and agents, as well as the process for state security registration, including defining a security, registration via qualification and coordination, and exemptions from state registration.
2 - Investment Advisers & Ethics
This deck focuses on the registration requirements for investment advisers and investment adviser representatives, as well as rules and regulations that detail how securities professionals can conduct themselves in a just and ethical manner.
3 - Equity & Fixed Income
This deck focuses on the characteristics and features of both debt and equity securities.
4 - Investment Companies, Insurance Products & Derivatives
This deck focuses on investment company products, insurance products, including annuities and life insurance, as well as derivatives, such as options, forwards, and futures.
5 - Trading Equities & Retirement Plans
This deck focuses on equity trading as well as tax-advantaged accounts, including corporate and individual retirement plans as well as education plans.
6 - Securities Analysis, Taxation & Federal Law
This deck focuses on tax implications for investing and gifting, federal regulations, as well as quantitative analysis and investment risks.