FinExPrep

Syllabus

Series 65 Uniform Investment Adviser Law Exam Prep Course

84 lessons. Online and self-paced.

Economic and Business Foundations

Connect economic conditions, policy decisions, and financial reports to investment analysis.

  1. 1Business Cycles and Economic Indicators
  2. 2Monetary Policy and Fiscal Policy
  3. 3Yield Curves and Credit Spreads
  4. 4Currency and Global Economic Risks
  5. 5Balance Sheets and Income Statements
  6. 6Cash Flows and Accounting Methods
  7. 7Corporate Filings and Auditor Disclosures

Quantitative Analysis and Risk

Apply essential calculations and risk distinctions to economic and company analysis.

  1. 8Time Value and Discounted Cash Flows
  2. 9Descriptive Statistics and Correlation
  3. 10Financial Ratios and Valuation Multiples
  4. 11Systematic and Unsystematic Investment Risks
  5. 12Capital Structure and Liquidation Priority
  6. 13Alpha Beta and Sharpe Analysis

Cash and Fixed Income

Compare cash instruments and debt securities using issuer features, taxation, risk, and valuation.

  1. 14Cash Equivalents and Insured Deposits
  2. 15Treasury Securities and Inflation Protection
  3. 16Corporate Foreign and Asset-Backed Debt
  4. 17Municipal Bonds and Tax Treatment
  5. 18Bond Features and Credit Quality
  6. 19Bond Prices Yields and Conversion
  7. 20Duration and Bond Valuation Sensitivity

Equities and Pooled Investments

Evaluate stock ownership, equity valuation, public offerings, and pooled investment structures.

  1. 21Common Preferred and Depositary Shares
  2. 22Shareholder Rights and Equity Compensation
  3. 23Fundamental and Technical Equity Valuation
  4. 24Public Offerings and Blank-Check Companies
  5. 25Registered Funds ETFs and UITs
  6. 26Private Funds and Real Estate Trusts
  7. 27Pooled Investment Pricing and Selection

Derivatives and Specialized Assets

Evaluate derivative contracts, alternative products, insurance products, and other assets.

  1. 28Options Warrants and Futures Contracts
  2. 29Derivative Costs Benefits and Risks
  3. 30Alternative Investment Structures and Leverage
  4. 31Fixed Variable and Indexed Annuities
  5. 32Life Insurance Product Characteristics
  6. 33Commodities and Precious Metals
  7. 34Digital Asset Characteristics and Risks

Client Analysis and Portfolio Design

Translate client circumstances and investment theory into portfolio recommendations.

  1. 35Individual Business and Institutional Clients
  2. 36Client Discovery and Financial Capacity
  3. 37Objectives Risk Tolerance and Behavior
  4. 38Portfolio Theory and Market Efficiency
  5. 39Strategic and Tactical Asset Allocation
  6. 40Active Passive and Investment Styles
  7. 41Diversification and Disciplined Investment Techniques
  8. 42Options Leverage and Inverse Strategies

Taxation Retirement and Benefit Accounts

Integrate tax considerations, retirement structures, fiduciary requirements, and special-purpose accounts.

  1. 43Individual Investment Income and Tax Basis
  2. 44Business and Trust Investment Taxation
  3. 45Estate and Gift Tax Fundamentals
  4. 46Traditional and Roth Retirement Accounts
  5. 47Employer and Self-Employed Retirement Plans
  6. 48Retirement Distributions RMDs and IRMAA
  7. 49ERISA Fiduciary Investment Decisions
  8. 50Education and Custodial Savings Accounts
  9. 51Health Savings Account Planning

Ownership Trading and Performance

Connect ownership and estate arrangements with trade execution and portfolio evaluation.

  1. 52Joint Ownership and Beneficiary Transfers
  2. 53Trusts Wills and QDRO Transfers
  3. 54Donor Advised Fund Planning
  4. 55Quotes Orders and Short Sales
  5. 56Trading Accounts and Market Participants
  6. 57Trading Costs and Best Execution
  7. 58Total Annualized and Adjusted Returns
  8. 59Cash-Flow Effects and Performance Benchmarks

Adviser and Representative Regulation

Determine advisory registration obligations and maintain firm and representative compliance.

  1. 60Investment Adviser Definitions and Exclusions
  2. 61State and Federal Adviser Jurisdiction
  3. 62Adviser Exemptions and Reporting Status
  4. 63Adviser Filings Records and Supervision
  5. 64Investment Adviser Representative Registration
  6. 65Representative Maintenance and Reportable Events

Securities Regulation and Enforcement

Classify securities-market participants and apply securities registration and enforcement rules.

  1. 66Broker-Dealer Definitions and Regulatory Status
  2. 67Agent Definitions and Issuer Representatives
  3. 68Security Definitions and Instrument Classification
  4. 69Securities Registration and Exemptions
  5. 70Administrator Authority and Administrative Actions
  6. 71Civil Remedies and Criminal Liability

Client Communications and Fiduciary Conduct

Apply disclosure, contracting, advertising, compensation, and asset-control requirements.

  1. 72Client Disclosures and Advisory Contracts
  2. 73Advertising and Digital Communication Standards
  3. 74Fiduciary Care Loyalty and Conflicts
  4. 75Compensation Performance Fees and Soft Dollars
  5. 76Custody and Client Asset Safeguards
  6. 77Discretion Authorization and Account Abuses

Ethics and Client Protection

Recognize prohibited conduct, protect clients and information, and integrate all four examination domains.

  1. 78Insider Trading and Market Manipulation
  2. 79Excessive Trading and Account Turnover
  3. 80Personal Trading and Outside Activities
  4. 81Vulnerable Adult Financial Exploitation
  5. 82Confidentiality Privacy and Cybersecurity Controls
  6. 83Business Continuity and Succession Planning
  7. 84Anti-Money Laundering Responsibilities
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