Frequently Asked Questions
Series 65 Examination
The following are frequently asked questions about the Series 65 examination.
The answers to these questions are general in nature and do not include or account for all of the exceptions by or variances among state securities regulators.
RIA Compliance Consultants recommends that a Series 65 examination candidate review the specific investment adviser representative requirements of the securities regulator of his or her home state since the answers to certain questions below may depend upon the securities laws and regulations of the particular state.