Wiley Series 65 Securities Licensing Exam Review 2020 + Test Bank The Uniform Investment Adviser Law Examination

The go-to guide to acing the Series 65 Exam!

Consisting of 130 multiple-choice questions in the areas of ethics and legal guidelines, investment strategies, investment vehicles, and economics and analysis, the Uniform Investment Adviser Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives.

An indispensable resource for anyone preparing to take this tough three-hour exam, Wiley Series 65 Exam Review 2020 was created by the experts at The Securities Institute of America, Inc. It arms you with what you need to score high and pass the Series 65 Exam on your first try. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it features:

• Dozens of examples
• Assorted practice questions for each subject area covered in the exam
• Priceless test-taking tips and strategies
• Helpful hints on how to study for the test, manage stress, and stay focused

About The Series 65 Exam Xxi

About This Book xxv

About The Test Bank xxvii

About The Securities Institute of America xxix

Chapter 1 Equity Securities 1

Chapter 2 Corporate and Municipal Debt Securities 35

Chapter 3 Government and Government Agency Issues 69

Chapter 4 Investment Companies 81

Chapter 5 Variable Annuities and Retirement Plans 115

Chapter 6 Fundamental and Technical Analysis 151

Chapter 7 Economic Fundamentals 171

Chapter 8 Recommendations, Professional Conduct, and Taxation 189

Chapter 9 Securities Industry Rules and Regulations 231

Chapter 10 Trading Securities 259

Chapter 11 Options 285

Chapter 12 Definition of Terms 313

Chapter 13 Registration of Broker Dealers, Investment Advisers, and Agents 333

Chapter 14 Securities Registration, Exempt Securities, and Exempt Transactions 359

Chapter 15 State Securities Administrator: The Uniform Securities Act 375

Answer Keys 393

Glossary of Exam Terms 407

Index 473

The Securities Institute of America, Inc. has an 18 year track record for excellence in securities exam training. Jeffrey Van Blarcom author from The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year Learn more at : https://securitiesce.com

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