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DEFINITIONS. A brief introduction into NASAA, administrator, NSMIA, person, and states is provided. Terms. Uniform Securities Act (USA) Blue-Sky laws. A model law – not the actual law of any state. Exam doesn’t address state amendments. State Administrator (sometimes called Commissioner) Uses rules, orders, and laws to enforce the USA.
Chapter 1 – Laws, Regulations, and Guidelines Overview .....4 Key Terms ..... 5
The Series 66 is a 2½hour, 110question exam (100 questions scored) prepared by the North American Securities Administrators Association (NASAA) and administered by FINRA.
The examination (also called the “Series 66”) is designed to qualify candidates as both securities agents and investment adviser representatives. The exam covers topics that have been determined to be necessary to provide investment advice and effect securities transactions for clients.
Prepare for the exam with Series 66 Standard
1 sie 2022 · The Series 66 exam places an emphasis on knowing and understanding the state laws and regulations based on the Uniform Securities Act. These regulations define the individuals, securities, and transactions that require registration at the state level.
14 cze 2024 · Prepare to pass The NASAA Series 66 Uniform Combined Law Examination. Our Prep Course is the ultimate guide for achieving success on the series 66 exam. Our series 66 prep materials deliver the highest pass rates in the industry.
