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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 [...]
May 6, 2015
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Remember that an investment advisory firm has a contract/agreement with their clients that spells out the services provided, the fees that will [...]
January 17, 2013
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When an agent or an investment adviser violates securities law, the Administrator can issue an order to suspend or revoke the license. Before [...]
October 22, 2012
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The Series 65/66 exams don’t frequently reward test takers for the little factoids they’ve managed to memorize. Rather, the exams [...]
August 28, 2012
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Maybe you’ve sat through one of the live classes that remain the bread and butter of the bigger vendors. If the instructor tried to teach [...]
August 21, 2012
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Let’s kick off the new school year with a practice question that could easily show up on your Series 65 or Series 66 exam: A [...]
August 21, 2012
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Settlor Functions practice question If the test asks about “settlor functions,” maybe it would throw something like this at you: An [...]
June 22, 2012
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To REALLY understand mutual funds–and investment vehicles in general–download a mutual fund prospectus, and an SAI, and a shareholder [...]
June 12, 2012
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The Series 65 and 66 will likely ask several questions requiring you to know the difference between a company’s income statement and [...]
May 16, 2012
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Yesterday I was doing some research for a caller asking about solicitors for investment advisers in the State of Texas. As usual, I got [...]
May 15, 2012
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