Pass Series 65 and Series 66 Exams by Reg BI Deadline

Passing a securities exam just got easier, even if you’re feeling the pressure of a fast-approaching regulatory deadline like Reg BI.

Knopman Marks is offering free review sessions to Series 65 and Series 66 Exam candidates. All candidates of broker-dealers, registered investment advisers, and dual registrants who need to pass one of these exams—even those not preparing with Knopman Marks—are welcome. These reviews are especially timely for those impacted by the SEC Regulation Best Interest (Reg BI) deadline of June 30.

“We’ve helped thousands of candidates successfully prepare for these exams,” says Marcia Larson, who will co-host the free review sessions with Dave Meshkov. “We know these exams are tough—there are some thorny topics.”

The Series 65 and Series 66 Exams are challenging because they require that you apply a higher level of analysis than required for other exams. The questions can be long, nuanced, and more complex than on other exams, and questions come from a broad and random range of topics. All the more reason to start studying as soon as possible.

The two webinars Knopman Marks is offering will focus on concepts in a questions-based approach. You will also learn techniques to sharpen your skills in dissecting questions.

“We know studying for the Series 65 or Series 66 Exams can be stressful,” says Meshkov. “We’re here to help you gain confidence and competence.”

Series 65 Snapshot: The Series 65 Exam (the NASAA Investment Advisers Law Examination), administered by FINRA, is designed for those who do not have a Series 7 license. The exam consists of 130 scored questions. Candidates have 180 minutes to complete the exam. To pass the Series 65 Exam, a candidate must correctly answer at least 94 of the 130 scored questions. For more information about this exam, and to see the content outline, visit NASAA.

Series 66 Snapshot: The Series 66 Exam (the NASAA Uniform Combined State Law Examination), administered by FINRA, combines the Series 63 with the Series 65 Exam. The Series 66 Exam has a little more state law and some esoteric investment products. The exam consists of 100 scored questions. Candidates have 150 minutes to complete the exam. To pass the Series 66 Exam, a candidate must correctly answer at least 73 of the 100 scored questions. There is no prerequisite for the Series 65 Examination—however, for the Series 66 Exam, the Series 7 Examination is a co-requisite. For more information about this exam, and to see the content outline, visit NASAA.

Register for Free Review Sessions for Series 65 and Series 66 

REGISTER HERE to join us for two free webinars that will provide expert coaching on highly testable Series 65 and Series 66 concepts.

After registering, you will receive a confirmation email containing information about joining the webinars.

Free Webinars for Series 65 and Series 66:

Wednesday, June 17 

2:30–3:30 pm (EST) – The first webinar review will cover financial analysis concepts.

Wednesday, June 24

2:30–3:30 pm (EST) – The second webinar review will cover suitability and recommendation concepts.

Don’t have Knopman Marks review materials? Not a problem. Webinar materials will be provided at the start of the session.

Free Series 65 and Series 66 Benchmark Exam + Study Guide

By registering for a webinar, you’ll receive access to two helpful resources:

  1.   Class Summary: This last-stage review tool highlights critical information needed for the Series 65 and Series 66 Exams.
  2.   Benchmark Exam: This is a proportionately representative overview of exam topics that will give you a realistic view of your level of readiness. Put yourself to the test with new questions and know where you stand.

Share this invitation with anyone who could benefit from Series 65 and Series 66 Exam prep.

“We’re here to help,” Larson says. “We want to support you in serving your clients, who most likely need your services now more than ever.”

Prior review sessions for the Series 65 and Series 66 Exams can be accessed here.

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Written by Suzanne Riss
Suzanne Riss is an author and a Digital Marketing Strategist consultant at Knopman Marks Financial Training. Previously the award-winning Editor-in-Chief of Working Mother magazine, she is a fierce advocate for issues facing working moms and an authority on work/life trends. Her expertise has been tapped in interviews by The New York Times, The Wall Street Journal, Good Morning America, the Today Show, and CNN. Suzanne is currently completing her third book, A User’s Guide to the Future of Work.