Securities Licensing: Series 66 Online
Price: $ 105.00 (USD)
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You will receive 50 credits (CE) upon completion of this course.
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Course Description
The Series 66 exam is designed for states that require registration of individuals as both investment advisers and stockbrokers. The Series 66 exam combines the Series 65 and Series 63 licenses. Some states require candidates to take just one test that dually registers them as an agent of a broker-dealer and also as a representative of an investment adviser. Those interested should consult with their compliance department or state securities regulator to see if Series 66 is available in their particular state. Persons may take the Series 66 exam only after they have passed the Series 7 exam. Persons taking the Series 66 exam must display competence in some areas of investment analysis, recommendations, and strategies that are not heavily covered in the Series 7 exam.
The Uniform Combined State Law exam covers the principles of state securities regulation covered in the Uniform Securities Act and Federal securities laws which are applicable to investment advisers. The Series 66 test covers topics including: Product Education, Retirement Planning, Conduct and Business Ethics, State Laws and Registration Procedures, Securities Rules and Regulations, and Investment Adviser Laws.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
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The Uniform Combined State Law exam covers the principles of state securities regulation covered in the Uniform Securities Act and Federal securities laws which are applicable to investment advisers. The Series 66 test covers topics including: Product Education, Retirement Planning, Conduct and Business Ethics, State Laws and Registration Procedures, Securities Rules and Regulations, and Investment Adviser Laws.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Course Outline
LEARNING OBJECTIVES:
· Learn the quantitative methods to evaluate investment
· Understand the Investment policy and strategy
· Understand the retirement plans and ERISA
· Learn about the risks involved, and how to manage a portfolio
· Learn the scope of Uniform Securities Act
· Understand the Fraudulent and Prohibited practices in business and advisory activities
· Get an in-depth understanding of the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and the Investment Company Act of 1940
· Learn about the NASAA Statement on Unethical Practices of Investment AdvisersUnderstand trading, which includes various types of orders, the consolidated tape and how to collect information on stocks and bonds.
TOPICS COVERED:
· Introduction
· LESSON 1: Investment Analysis, Recommendations, and Strategies
· LESSON 2: State Securities Laws
· LESSON 3: Federal Acts
· LESSON 4: Ethical Practices
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· Learn the quantitative methods to evaluate investment
· Understand the Investment policy and strategy
· Understand the retirement plans and ERISA
· Learn about the risks involved, and how to manage a portfolio
· Learn the scope of Uniform Securities Act
· Understand the Fraudulent and Prohibited practices in business and advisory activities
· Get an in-depth understanding of the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and the Investment Company Act of 1940
· Learn about the NASAA Statement on Unethical Practices of Investment AdvisersUnderstand trading, which includes various types of orders, the consolidated tape and how to collect information on stocks and bonds.
TOPICS COVERED:
· Introduction
· LESSON 1: Investment Analysis, Recommendations, and Strategies
· LESSON 2: State Securities Laws
· LESSON 3: Federal Acts
· LESSON 4: Ethical Practices
More Information
| Language | English |
| Course Length | 50.00 hours |
| Duration of Access | 120 Days from Purchase |
| Continuing Education Credits | 50 |
| Instructor | Self Study |
| Vendor | 360 Training (Read more about 360 Training accreditation.) |
| Course Certification | None |
| Prerequisites/Audience | Must have passed Series 7 Exam |
| Requirements/Materials Included | None |
Price: $ 105.00 (USD)
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