Series 65 – Uniform Investment Adviser Law Exam

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The Series 65 exam, or Uniform Investment Adviser Law Examination produced by the North American Securities Administrators (NASAA). The Series 65 exam is administered by FINRA (Financial Industry Regulatory Authority) and is used as a criterion based test.

Criterion based test means that it is a minimum competency examination administered in the investment industry. Since it is criterion based, any candidate passing the series 65 test is deemed to have met the minimum competency level.



checkSeries 65 Exam Format & Content

The Series 65 exam consists of 140 multiple choice questions. Only 130 questions out of the 140 are used to calculate the final score as 10 questions are pre-test questions. The pretest questions could appear anywhere within the 140 questions, and are used as a test basis for future questions and earn no marks.

To pass the Series 65 exam, candidates must score at least 68.5%, or 89 questions out of the 140. The total time allotted for the test is 180 minutes (3 hours).

The Series 65 covers questions on analyzing and studying a client’s financial goals, income, risk, various possible investment vehicles and how to properly evaluate them.


 checkTest Tips & Study Tips


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Complete Series 65 Study Guide & Practice Test Questions

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Modified: 2017-10-09
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