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The Uniform Combined State Law Examination also called the Series 66 exam is designed to qualify candidates as both securities agents and investment adviser representatives in the United States. It was developed by North American Securities Administrators Association (NASAA) and operated by the Financial Industry Regulatory Authority (FINRA).
The Series 66 license is required to work as an investment advisor in the United States. To obtain it, you must pass a rigorous exam covering methods of delivering investment advice and other topics.
Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)* Series 72 – Government Securities – Limited Representative Series 79 – Investment Banking Exam
Each Series 65, Uniform Investment Adviser Law Examination, contains a total of 140 questions. One hundred thirty (130) of the questions count toward whether the candidate passes or fails the Series 65 exam. The other 10 questions are pretest and could appear in any position within the exam but do not count towards the final grade.
Passing the Series 86 exam — also known as the Research Analyst Qualification exam — is necessary for anyone who wants to work as research analyst for a broker-dealer member of the Financial ...
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