The Uniform Investment Adviser Law (Series 65) Exam
Created in 1989, the Series 65 exam was designed to ensure salespersons understand securities regulations, ethics, and investments. The Series 65 exam is administered by the Financial Industry Regulatory Authority (FINRA) for the North American Securities Administrators Association (NASAA), and required by NASAA.
Topics include: investment vehicles, regulation, ethical practices, and economics.