Series 66 Exam Prep Flashcards

What is Series 66?

The Series 66 is an exam and license that qualifies individuals to work as investment adviser representatives. A North American Securities Administrators Association (NASAA) exam, Series 66 is administered by the Financial Industry Regulatory Authority (FINRA).

The FINRA exams can be confusing. You’ll need to take Series 66 along with Series 7 but it doesn’t matter in which order. However, you’ll must have completed Series 66 before you take the more difficult Series 65 exam!

Preparing for the Series 66 Exam

The Series 66 exam has 100 multiple choice and candidates have 150 minutes in which to complete the exam. With a passing rate of 73%, the exam is made up of four topics and focuses on the Laws, regulations and guidelines associated with  unethical business practices. You can find out more information about both the Series 66 and Series 7 on the FINRA website.

Learning Series 66  

The Series 66 exam covers topics that will ensure you can advise your clients appropriately and expertly. With a mountain of information to commit to memory, including state and federal securities law, analysis tools, different securities products, and suitability issues; it can seem like an uphill battle. Brainscape makes light work of committing information to memory and is the ideal study tool for Series 66 candidates.

There are thousands of notecards on this page prepared by like-minded students covering the complete Series 66 syllabus. You’ll also see the KM Series 66 course at the top of the page. This is our collaboration with Knopman Marks, a leader in exam preparation, who have curated these Brainscape flashcards as a study tool to help you ace both your Series 66 and Series 7 exam.

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