Importance of the topic
The Series 65 is the Registered Investment Advisor (RIA) qualifying exam. Completion of the Series 65 Exam will certify an investment professional to operate as an Investment Adviser Representative. The exam focuses on topic areas that are important for an investment adviser to know when providing investment advice. These include topics such as retirement planning, portfolio management strategies, and fiduciary obligations.
The Series 65 is an obligatory program required by the US Securities and Exchange Commission (SEC) for Registered Investment Advisors which 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 certified recipients of the Series 65 exam in the CRD System (http://www.finra.org/industry/crd). Parts of the exam are related to the legal structure 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 current EU regulations and with the MIFID requirements. This course is exceptionally beneficial to financial professionals working at firms with large finance departments as well.
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 demonstrating an applied proficiency in English. Upon successful completion of the Series 65 certifying exam, the registration of the Registered Investment Advisor (RIA) will be included in the CRD system, operated by FINRA (https://brokercheck.finra.org/). We recommend these courses to financial professionals working at firms which are active in the US, the EU, other international financial markets, investment and venture capital professionals, legal professionals, and to insurance providers.
After participating in our course, you will be prepared to take the Series 65 exam (in Frankfurt or Paris), which is a “criterion based” minimum competency examination. The time given to complete the exam is three hours to answer the 130 multiple choice questions.
The passing score is 72%. The certification does not expire.
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