Description:

The FINRA Series 66 exam, also known as the Uniform Combined State Law Examination, is designed to qualify individuals as both securities agents and investment advisor representatives. This comprehensive exam covers a wide range of topics related to state securities regulations and laws, as well as federal regulations. Successfully passing the Series 66 exam is a requirement for individuals who wish to register as both a securities agent and an investment advisor representative with a state regulator.

Key Highlights:

• Qualifies individuals as both securities agents and investment advisor representatives
• Covers state and federal securities regulations and laws
• Requirement for individuals registering as securities agents and investment advisor representatives

What you will learn:

• Comprehensive Coverage
  Gain in-depth knowledge of state and federal securities regulations to excel in your dual registration.
• Exam Preparation
  Equip yourself with the necessary skills and knowledge to pass the Series 66 exam on your first attempt.
• Regulatory Compliance
  Understand the legal requirements and regulations governing securities agents and investment advisor representatives.

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  Note: These are the short notes only for the reference and education prepared by the experts with the purpose to help candidates who are preparing for the FINRA Certifications Exams. Daanik would not be responsible for any kind of authenticity of the content. Please refer the book and other resources provided by the FINRA for authenticity purpose.