Series 66 — Uniform Combined State Law
22 articles
Series 65 vs Series 66: Which Exam Do You Actually Need?
Series 65 vs Series 66 — the definitive comparison of who needs which exam, the Series 7 prerequisite for the 66, and when to take the 65 standalone.
June 12, 2026
Series 66 Exam Prep Guide: How to Pass the Combined State Law Exam
Complete Series 66 exam prep guide — what the exam covers, how it replaces Series 63 and 65, study strategy, and how to pass on your first attempt.
June 12, 2026
Series 65 Client Recommendations: Suitability, Fiduciary Duty, and Portfolio Construction
Recommendation suitability and fiduciary duty questions are central to the Series 65. Learn how IARs must evaluate client profiles and construct suitable portfolios.
June 12, 2025
Series 65 Economics: Interest Rates, Monetary Policy, and Business Cycles
Economics questions appear throughout the Series 65. Learn the monetary policy tools, yield curve shapes, and business cycle indicators that investment advisers must understand.
June 12, 2025
How to Pass the Series 65 Exam: A Study Guide for Investment Adviser Law
The Series 65 is a 130-question NASAA exam required in most states to be a fee-based investment adviser representative. Learn the domain weights and how to prepare.
June 12, 2025
Series 65 Investment Vehicles: What Every IAR Candidate Needs to Know
Investment vehicles carry significant weight on the Series 65. Learn the characteristics, tax treatment, and suitability factors for the products most heavily tested.
June 12, 2025
Series 65 Wrap Fee Programs: Structure, Disclosure, and Suitability
Wrap accounts and fee-based advisory programs are consistently tested on the Series 65. Learn what a wrap fee covers, what must be disclosed, and when they're appropriate.
June 12, 2025
Series 66 Blue Sky Laws: State Securities Regulation and Federal Preemption
Blue sky laws — state securities regulations — are the foundation of Series 66 content. Learn the Uniform Securities Act, NSMIA preemption, and where federal law takes over.
June 12, 2025
How to Pass the Series 66 Exam: The Combined State Law Exam Explained
The Series 66 combines Series 63 and 65 content into a 100-question exam. Learn the domain weights, what it licenses you to do, and how to prepare efficiently.
June 12, 2025
Series 66 Rescission Rights and Civil Remedies Under State Securities Law
Rescission and civil liability provisions appear on every Series 66. Learn the right of rescission, the statute of limitations, and the damages formula tested on the exam.
June 12, 2025
Series 66 State Registration for IAs and Investment Adviser Representatives
State vs federal registration rules are central to the Series 66. Learn who registers with the SEC vs state, how IARs register, and the key notice filing rules.
June 12, 2025
Series 66 vs 63+65: Which Path Should I Take?
Compare the Series 66 against the 63 and 65 combo so you can choose the fastest route to registration.
March 8, 2025
Series 66 Prep Strategy for Reps Upgrading to Advisory Roles
A focused prep strategy for Series 7 holders moving into investment advisory, with tips for leveraging what you already know.
January 14, 2025
Client Types and Suitability Under the Uniform Securities Act
How the Series 66 tests different client categories, their regulatory treatment, and how to match recommendations to each.
September 18, 2024
Ethics Scenarios That Appear Most on the Series 66
The most common ethics scenario types on the Series 66 and a systematic approach to answering every one correctly.
June 11, 2024
Portfolio Math You Must Know for the Series 66
The key portfolio math formulas tested on the Series 66, with worked examples and the intuition behind each calculation.
April 29, 2024
Series 65 Portfolio Theory: CAPM, Sharpe Ratio, and the Math You Actually Need
The quantitative concepts tested on the Series 65 — Modern Portfolio Theory, CAPM, risk measures, and performance metrics — explained clearly with the formulas that matter.
February 26, 2024
Series 65 Investment Adviser Ethics: Fiduciary Duty, Form ADV, and What You Must Disclose
The ethics and disclosure rules that every Series 65 candidate must know — fiduciary duty, the Form ADV brochure, performance fees, custody, and prohibited practices.
February 19, 2024
Series 65 Securities Exemptions: Exempt Securities vs. Exempt Transactions
One of the most tested distinctions on the Series 65 — understand exactly which securities are exempt from registration and which transactions qualify for exemption.
February 12, 2024
Series 65 Registration Rules: Who Registers Where and Why
Master the most heavily tested topic on the Series 65 — exactly when broker-dealers, agents, investment advisers, and IARs must register, and when they don't.
February 5, 2024
Investment Adviser Registration Rules Under the Series 66
A complete guide to investment adviser and IAR registration requirements as tested on the Series 66 exam.
February 4, 2024
Series 65 Study Plan: Pass in 6 Weeks with This Topic-by-Topic Schedule
A realistic 6-week study schedule for the Series 65 that matches time investment to NASAA exam weights — so you spend your hours where the points are.
January 29, 2024