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.
IV. Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices
- 1. Compensation
- Login to track1.1 Fees
- Login to track1.2 Commissions
- Login to track1.3 Performance Based Fees
- Login to track1.4 Soft Dollars
- Login to track1.5 Disclosure of Compensation
- 2. Client Funds and Securities
- Login to track2.1 Custody
- Login to track2.2 Discretion
- Login to track2.3 Advice to Client Standard of Care
- Login to track2.4 Anti-Money Laundering (AML)
- 3. Conflicts of Interest
- Login to track3.1 Loans to and From Customers
- Login to track3.2 Sharing in Profits and Losses in a Customer Account
- Login to track3.3 Client Confidentiality
- Login to track3.4 Insider Trading
- Login to track3.5 Selling Away
- Login to track3.6 Market Manipulation
- Login to track3.7 Personal Securities Transactions
- Login to track3.8 Political Contribution
- Login to track3.9 Exploitation of Vulnerable Adults
- Login to track4. Cyber Security
- 5. Business Continuity Plan
- Login to track5.1 Disaster Recovery
- Login to track5.2 Succession Planning