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Preparatory course for Series 65

  • Banking and financial courses

IMPORTANCE OF THE TOPIC

Starting in October 2018, participation in trading activities at the US stock exchange will be only possible upon successful completion of the Securities Industry Essentials (SIE) preparatory course for financial professionals and the Series 65 certifying exam. The Series 65 exam is specifically important for foreign financial firms present in the US and international market, since it represents a scheme and methodology that is particularly relevant for US financial markets. 

CONTENT

The Series 65 is an obligatory program required by the US Securities and Exchange Commission (SEC) for Investment Advisors that is pertinent to the US and Global Financial Market. This is the only certification in the globalized investment profession, that is not limited to a nationally regulated market and can provide an accredited professional certificate for portfolio managers worldwide. The North American Securities Administrators Association (NASAA) oversees and registers all certification recipients of the Series 65 exam in the CRD System (http://www.finra.org/industry/crd).  Certain parts of the exam are related to the legal background of the US regulatory system, the rest, however, address the international guidelines of the Global market. The information covered by the Series 65 is in line with the EU regulations and with the MIFID requirements. This course is exceptionally beneficial to financial professionals working at firms with large finance departments, too.

OBJECTIVES

The main goal of the course is to effectively and successfully prepare students for the completion of the Series 65 exam. A critical part of the course is the analysis and in-depth understanding of the US and international financial markets as well as demonstrates an applied proficiency in English. Upon successful completion of the SIE exam and the Series 65 certifying exam, the registration of the Registered Investment Advisor (RIA) will be included in the CRD system operated by the FINRA (https://brokercheck.finra.org/). We recommend these courses to financial professionals working in firms active in the US, the EU, other international financial markets, to investment and venture capital professionals, and to insurance providers.

After participating our course, you will be prepared for the Series 65 exam (in Frankfurt or Paris), which is a “criterion based” minimum competency examination. This exam is administered to professionals within the investment industry. Criterion based means that a minimum passing criterion is established. Those candidates who pass the exams are considered to have met the minimum competency level and those who fail do not meet the minimum competency level. The items for these exams were drafted to clearly differentiate those candidates who qualify as minimally competent from those who do not. Successfully passed Series 65 exam has no expiry.

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