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Series 66 Exam: Study Guide & Practice

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Overview

This comprehensive study guide can make sure you are ready for your Series 66 exam. You'll have all the study tools you need at your fingertips, from clearly-written text and video lessons, to helpful worksheets and quizzes.

Syllabus

  • Ch 1. Analytical Methods in Investment
  • Ch 2. Valuation Factors of Securities
  • Ch 3. Investment Vehicle Characteristics
  • Ch 4. Understanding Customer Types & Profiles in Investing
  • Ch 5. Capital Market Theory
  • Ch 6. Investment Portfolio Management Strategies
  • Ch 7. Tax Considerations for Investing
  • Ch 8. Understanding & Managing Retirement Plans
  • Ch 9. Special Types of Investment Accounts
  • Ch 10. Ownership & Estate Planning Techniques
  • Ch 11. Overview of Securities Trading
  • Ch 12. Investment Portfolio Performance Measures
  • Ch 13. Regulation of Investment Advisors & Investment Advisor Representative
  • Ch 14. Regulation of Broker-Dealers
  • Ch 15. Regulation of Broker-Dealers' Agents
  • Ch 16. Regulation of Issuers & Securities Registration
  • Ch 17. State Securities Administration Regulation
  • Ch 18. Customers & Prospects Communication in the Securities Industry
  • Ch 19. Ethical Practices & Obligations in the Securities Industry

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