FINRA Series 65: Uniform Investment Adviser Law Exam

The Series 65 Exam is required by the North American Securities Administrators Association (NASAA) and administered by FINRA. It qualifies candidates for state registration as investment advisor representatives if they have also passed the Series 7.

Number of Questions: 130 scored questions (plus 10 ungraded experimental questions).
Exam Structure: 1 session covering all topics. All questions are multiple choice.
Prerequisites: None; however, a valid S7 registration is also required for registration as an investment advisor representative
Time to Complete: 150 minutes
Passing Score: 72%; 94 correct
Recommended Study Time: 80 hours

SERIES 65 AT A GLANCE

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SERIES 65 EXAM BREAKDOWN

Topic Description Number of Questions
1 Economic Factors and Business Information 20
2 Investment Vehicle Characteristics 32
3 Client Investment Recommendations and Strategies 39
4 Laws, Regulations, and Guidelines, Including Prohibition on Unethical Business Practices 39
Total 130

The passing score for the Series 65 examination is 72%.

Click here to view the Exam Content Outline

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