Series 65 Exam Contents
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Accelerate your exam preparation with our study guide. Each exam subject below shows a brief lesson with condensed study notes, examples, term definitions, and practice problems.
III. Client Investment Recommendations and Strategies
- 1. Person
- Login to track1.1 Individual
- Login to track1.2 Sole Proprietorship
- 2. Business Entities
- Login to track2.1 General Partnership
- Login to track2.2 Limited Partnership
- Login to track2.3 Limited Liability Company (LLC)
- Login to track2.4 C and S-Corporations
- Login to track3. Trusts and Estates
- Login to track4. Foundations and Charities
- 1. Financial Goals and Objectives
- Login to track1.1 Retail Investors
- Login to track1.2 High Net Worth Individuals and Families
- Login to track1.3 Institutional Clients
- 2. Current and Future Financial Situation
- Login to track2.1 Cash Flow
- Login to track2.2 Balance Sheet
- Login to track2.3 Existing Investments
- Login to track2.4 Tax Situation
- Login to track2.5 Social Security and Pensions
- Login to track3. Risk Tolerance
- 4. Nonfinancial Investment Considerations
- Login to track4.1 Values-Based Investing
- Login to track4.2 Environmental, Social, Governance (ESG)
- Login to track4.3 Religious Criteria
- Login to track4.4 Experience
- Login to track4.5 Life Events
- Login to track4.6 Life Stage
- Login to track4.7 Behavioral Finance
- Login to track5. Client Identification
- Login to track1. Capital Asset Pricing Model (CAPM)
- Login to track2. Modern Portfolio Theory
- Login to track3. Efficient Market Hypothesis
- 1. Strategies
- Login to track1.1 Strategic Asset Allocation
- Login to track1.2 Tactical Asset Allocation
- 2. Styles
- Login to track2.1 Active
- Login to track2.2 Passive
- Login to track2.3 Growth
- Login to track2.4 Value
- Login to track2.5 Income
- Login to track2.6 Capital Appreciation
- Login to track2.7 Momentum
- 3. Techniques
- Login to track3.1 Diversification
- Login to track3.2 Sector Rotation
- Login to track3.3 Purchasing or Selling Options
- Login to track3.4 Leveraging
- Login to track3.5 Volatility Management
- Login to track3.6 Inverse Strategies
- Login to track3.7 High Frequency Trading
- 1. Income Tax Fundamentals: Individual
- Login to track1.1 Capital Gains
- Login to track1.2 Qualified Dividends
- Login to track1.3 Tax Basis
- Login to track1.4 Marginal Bracket
- Login to track1.5 Alternative Minimum Tax
- Login to track1.6 Pension and Retirement Plan Distributions
- Login to track1.7 Government Benefit Implications
- 2. Income Tax Fundamentals: Corporate
- Login to track2.1 Corporate
- Login to track2.2 Trusts
- Login to track2.3 Passthrough Entities
- 3. Wealth Transfer
- Login to track3.1 Estate Tax and Gift Tax Fundamentals
- Login to track3.2 Unified Credit
- Login to track3.3 Annual vs Lifetime
- Login to track3.4 Portability
- Login to track1. Individual Retirement Accounts
- Login to track2. Solo 401(k)
- 3. Qualified Retirement Plans
- Login to track3.1 Defined Benefit
- Login to track3.2 Defined Contribution
- Login to track4. Nonqualified Retirement Plans
- Login to track1. Qualified Default Investment Alternative (QDIA)
- Login to track2. Investment Policy Statement
- Login to track3. Prohibited Transactions
- 1. Education-Related
- Login to track1.1 529s
- Login to track1.2 Coverdell IRA
- 2. Minors
- Login to track2.1 Uniform Transfers to Minors Act (UTMA)
- Login to track2.2 Uniform Gift to Minors Act (UGMA)
- Login to track3. Health-Savings Accounts (HSA)
- 1. Types of Ownership
- Login to track1.1 Joint Tenants with Rights of Survivorship (JTWROS)
- Login to track1.2 Tenants in Common (TIC)
- Login to track1.3 Tenancy by the Entirety (TBE)
- Login to track1.4 Community Property with Rights of Survivorship (CPWROS)
- Login to track2. Transfer-on-Death (TOD), Pay-on-Death (POD)
- Login to track3. Beneficiary Designation Including per Stirpes
- Login to track4. Trusts and Wills
- Login to track5. Qualified Domestic Relations Order (QDROs)
- Login to track6. Donor Advised Funds
- 1. Terminology
- Login to track1.1 Bids
- Login to track1.2 Short Sale
- Login to track1.3 Cash Accounts
- Login to track1.4 Margin Accounts
- Login to track1.5 Principal or Agency Trades
- Login to track1.6 Payment for Order Flow
- 2. Roles
- Login to track2.1 Introducing Broker-Dealers
- Login to track2.2 Clearing Broker-Dealers
- Login to track2.3 Custodians
- Login to track2.4 Market Makers
- Login to track2.5 Exchanges
- Login to track3. Best Execution
- 1. Returns
- Login to track1.1 Risk-Adjusted
- Login to track1.2 Time-Weighted
- Login to track1.3 Dollar-Weighted
- Login to track1.4 Annualized
- Login to track1.5 Total
- Login to track1.6 Holding Period
- Login to track1.7 Expected
- Login to track1.8 Inflation-Adjusted
- Login to track1.9 After Tax
- Login to track2. Relevant Benchmarks