The Series 66 exam is a combination of the Blue-Sky license (Series 63) and the Investment Advisers exam (Series 65). This test is designed to qualify individuals as both securities agents and IARs (investment adviser representatives).
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 7 (aka: Series 7 Top-off) Exam
The Series 66 Course Covers:
Definition of terms, registration requirements (broker-dealers, agents and investment advisers), investment objectives, strategies, regulation of securities, ethics, rule enforcement, fraudulent and prohibited practices.
The Series 66 license exam has a total of 110 questions. However, only 100 of the questions count toward the your grade. The other 10 questions are experimental and could appear in any position within the actual exam. To pass the 66, each candidate must correctly answer at least 75 (75%) of the 100 questions. Each person has a total of 150 minutes to complete the Series 66 test.
Series 66 Course Textbook
The Empire Series 66 Course Textbook with chapter exams with explanations, 4 final exams with explanations, and a glossary of Series 66 terms.
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About the book:
The Series 66 Exam License Book is a 370 page book which was developed by Empire Stockbroker Training Institute. Because we understand your frustration, our study manual is written in plain English with shorter paragraphs and is focused on the NASAA Series 66 Exam content with no unnecessary fluff. Key features:
- Updated for 2019
- Comprehensive – As with all of our book, Empire’s Series 66 Course Textbook is complete and easy to understand
- Diagrams – These only help make studying more enjoyable they also help you visualize difficult concepts
- Notes and Tips – Key points mixed throughout the chapters to emphasize important ideas
- Chapter Exams – Multiple-choice questions at the end of each chapter with detailed explanations
- Final Exams – Four 100-questions Series 66 practice exams with detailed explanations
- Glossary – Each book includes a glossary of Series 66 terms
All books were created by Steven M. Rice and Rueben Martinez