FinExPrep

Syllabus

Series 66 Uniform Combined State Law Exam Prep Course

82 lessons. Online and self-paced.

Investment Analysis Foundations

Apply quantitative methods to evaluate investment values, financial condition, and risk-adjusted results.

  1. 1Present and Future Value
  2. 2Net Present Value and IRR
  3. 3Financial Statement Ratio Analysis
  4. 4Equity Valuation Ratio Interpretation
  5. 5Descriptive Statistics and Correlation
  6. 6Alpha Beta and Sharpe Ratios

Cash Bonds and Equities

Compare cash instruments, bond valuation factors, and equity ownership characteristics.

  1. 7Cash and Cash Equivalents
  2. 8Bond Prices and Yields
  3. 9Bond Risk and Conversion Value
  4. 10Common and Preferred Stock
  5. 11Fundamental and Technical Equity Valuation
  6. 12Shareholder Rights and Resale Restrictions
  7. 13Employee Stock Option Characteristics
  8. 14Public Offerings and Blank Checks

Funds and Specialized Investments

Evaluate pooled investments, derivatives, insurance products, and alternative assets by structure and risk.

  1. 15Public and Private Investment Pools
  2. 16Fund Pricing Costs and Selection
  3. 17Futures and Options Fundamentals
  4. 18Leveraged Inverse and Structured Products
  5. 19Commodities Metals and Digital Assets
  6. 20Fixed Variable and Indexed Annuities
  7. 21Life Insurance Product Characteristics

Client Profiles and Portfolio Design

Translate client characteristics and capital-market principles into appropriate portfolio strategies.

  1. 22Individual and Institutional Client Types
  2. 23Client Financial Data Gathering
  3. 24Objectives Risk and Behavioral Constraints
  4. 25Modern Portfolio Theory Applications
  5. 26CAPM and Market Efficiency
  6. 27Strategic and Tactical Asset Allocation
  7. 28Investment Styles and Implementation Techniques
  8. 29Specialized Portfolio Strategy Selection

Tax and Retirement Planning

Evaluate investment taxation, retirement account structures, and fiduciary responsibilities in retirement planning.

  1. 30Individual Investment Income Taxation
  2. 31Entity and Passthrough Taxation
  3. 32Retirement Distribution Tax Effects
  4. 33Estate and Gift Tax Fundamentals
  5. 34Traditional and Roth IRAs
  6. 35Employer and Self-Employed Retirement Plans
  7. 36Nonqualified Retirement Plan Characteristics
  8. 37ERISA Investment Fiduciary Responsibilities

Accounts Trading and Performance

Coordinate account ownership, specialized savings, trading decisions, and portfolio performance evaluation.

  1. 38Education Custodial and Health Accounts
  2. 39Joint Ownership and Beneficiary Designations
  3. 40Trusts Wills and Special Transfers
  4. 41Donor-Advised Fund Planning
  5. 42Order Types and Trading Accounts
  6. 43Execution Intermediaries Costs and Conflicts
  7. 44Investment Return and Yield Calculations
  8. 45Cash Flow Sensitive Performance Measures
  9. 46Benchmark and Risk-Adjusted Performance Evaluation

Adviser and Representative Regulation

Determine adviser and representative regulatory status and maintain registration and supervisory obligations.

  1. 47Investment Adviser Definition and Exclusions
  2. 48State and Federal Adviser Jurisdiction
  3. 49Adviser Exemptions and Reporting Status
  4. 50Adviser Registration and Notice Filings
  5. 51Adviser Records and Registration Maintenance
  6. 52Adviser Representative Supervision Requirements
  7. 53Investment Adviser Representative Status
  8. 54Representative Registration Authority and Exclusions
  9. 55Representative Maintenance and Continuing Education

Brokerage and Securities Registration

Classify broker-dealers, agents, securities, and transactions under applicable registration rules.

  1. 56Broker-Dealer Firm Status and Exclusions
  2. 57Broker-Dealer Registration and Maintenance
  3. 58Broker-Dealer Agent Supervision
  4. 59Individual Agent Status and Exclusions
  5. 60Agent Registration and Employer Changes
  6. 61Security and Issuer Definitions
  7. 62State Securities Registration Methods
  8. 63Exempt Securities and Covered Securities
  9. 64Exempt Transactions and Antifraud Limits

Enforcement Disclosures and Communications

Apply administrator powers, liability provisions, and communication standards to regulatory scenarios.

  1. 65Administrator Investigations and Jurisdiction
  2. 66Registration Denial Suspension and Revocation
  3. 67Civil Liability and Rescission
  4. 68Antifraud Enforcement and Criminal Penalties
  5. 69Advisory Brochures and Material Disclosures
  6. 70Product Risk and Conflict Disclosures
  7. 71Advisory Contracts and Customer Agreements
  8. 72Advertising Performance and Registration Claims
  9. 73Digital Communications and Recordkeeping Controls

Ethics and Fiduciary Practice

Resolve compensation, custody, discretion, conflicts, and misconduct scenarios using the applicable standard of care.

  1. 74Fees Commissions and Compensation Disclosure
  2. 75Performance Fees and Soft Dollars
  3. 76Custody Definition and Safeguards
  4. 77Discretion and Trading Authorization
  5. 78Fiduciary Duties and Brokerage Standards
  6. 79Client Asset and Trading Misconduct
  7. 80Conflicts and Personal Conduct Restrictions
  8. 81Anti-Money Laundering Responsibilities
  9. 82Vulnerable Investor Protection Cases
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