Series 65 Uniform Investment Adviser Law The Series 65 covers SEC and state securities regulations, fiduciary duties, and the Investment Advisers Act of 1940? but the exam heavily weights advisor compensation models and how they drive conflicts of interest. You’ll see dense questions on custody rules, recordkeeping requirements, and the specific exemptions that let smaller advisors sidestep federal registration. Understanding prohibited transactions and state takeover requirements separates passing from solid performance.
| Exam Name | Series 65 Uniform Investment Adviser Law |
| Format | PDF & Practice Test Engine |
| Target Year | 2026 Updated |
| Features | 100% Verified Q&As |
