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Category Archives: Series 65

  • To Fiduciary or Not to Fiduciary

    To Fiduciary or Not to Fiduciary

    October 11, 2019
  • CPI measures the overall level of pricing for the goods and services that consumers buy over the month. Typically, the October number is compared [...]

    Purchasing Power

    May 6, 2015
  • Lately, some of my tutoring clients have been using our textbook, Pass the 65, or Pass the 66, to write their own practice questions. Some of the [...]

    What the Series 65 or Series 66 Question Didn’t Say

    May 6, 2015
  • You have probably heard some of the uproar surrounding a proposed rule that would define fiduciary standards for both broker-dealers and advisers [...]

    What’s Up with this Fiduciary Standard for Brokers Thing?

    April 25, 2015
  • Insurance agents selling fixed and indexed annuities have been operating in a gray area in many states for many years now. The definition of [...]

    Insurance Agents giving Investment Advice in the State of Tennessee

    September 8, 2014
  • A diversified portfolio of stocks would not contain all technology or pharmaceutical companies, for example. If there were a number of oil [...]

    Asset Allocation and Diversification for the Series 65 and Series 66 exams

    August 26, 2014
  • Some exam candidates want quick black-and-white answers. If they read something about “10 years” in terms of the [...]

    Don’t Make Assumptions

    August 26, 2014
  • Remember that an investment advisory firm has a contract/agreement with their clients that spells out the services provided, the fees that will [...]

    Assignment of Contract

    January 17, 2013
  • When an agent or an investment adviser violates securities law, the Administrator can issue an order to suspend or revoke the license. Before [...]

    Cease & Desist Orders

    October 22, 2012
  • The Series 65/66 exams don’t frequently reward test takers for the little factoids they’ve managed to memorize. Rather, the exams [...]

    Series 65/66 Question on Investment Risk

    August 28, 2012

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