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Exam Number : Series66
Exam Name : Uniform Combined State Law - Series 66 (NASAA)
Vendor Name : FINRA
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The FINRA Series 66 exam, also known as the NASD Series 66 exam, is a licensing exam for individuals who wish to become investment advisors. It is a combination of the FINRA Series 63 and Series 65 exams, and passing the Series 66 exam allows individuals to register as both securities agents and investment advisor representatives.

The exam consists of 100 multiple-choice questions and is administered by FINRA. Candidates are given 150 minutes to complete the exam, and a passing score is 73%. The exam covers a wide range of Topics related to investment advice, including regulatory requirements, investment strategies, portfolio management, and ethical considerations.

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Candidates must have a sponsoring firm to register for the exam, and they must also pass the FINRA Series 7 exam before taking the Series 66 exam. The Series 7 exam is a prerequisite for the Series 66 exam because it covers Topics related to securities trading and investment banking, which are necessary for individuals who provide investment advice.

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Passing the FINRA Series 66 exam is an important step for individuals who wish to work as investment advisors. It demonstrates their knowledge and understanding of the regulatory requirements and ethical considerations that are involved in providing investment advice. It also allows them to expand their career opportunities by being able to offer both securities trading and investment advisory services to their clients.

However, passing the exam is not the end of the road. Investment advisors must continue to meet ongoing continuing education requirements to maintain their license and stay up-to-date on industry developments. This includes completing a certain number of continuing education credits each year and staying informed about changes to regulatory requirements and market trends.

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FINRA Series 66 exam is a challenging but necessary step for individuals who wish to become investment advisors. It covers a wide range of Topics related to investment advice and requires significant study and preparation. However, passing the exam is an important achievement that demonstrates an individual's knowledge and understanding of the regulatory requirements and ethical considerations involved in providing investment advice. Maintaining ongoing continuing education requirements is also crucial for investment advisors to stay current and informed in their field.

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