Must Know Concepts for the Series 65 Exam

Alpha

A stock's alpha is its projected independent rate of change or the difference between an investment's expected return and its actual return. Portfolio managers whose portfolios have positive alphas are adding value and increasing the return through their asset selection.

Beta

A stock's beta is its projected rate of change relative to the market as a whole. If the market was up 10% for the year, a stock with a beta of 1.5 could reasonably be expected to be up 15%. A stock with a beta greater than one has a higher level of volatility than the market as a whole and is considered to be more risky than the overall market. A stock with a beta of less than one is less volatile than prices in the overall market and is considered to be less risky. An example of a low beta

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Analyzing Bonds

In a normal interest rate environment, longer-term bonds will pay investors a higher interest rate than short-term bonds of equal quality. As interest rates change the price of existing bonds will move inversely to the change in interest rates. A bond's duration is a measure of the bond's price sensitivity to a small change in interest rates and is stated in years. Longer term bonds and bonds with low coupons will generally have a higher duration than shorter term or higher yielding bonds. The higher the bond's duration, the greater the bond's interest rate risk and the greater its price volatility. Duration allows investors to compare the interest rate risk associated with bonds of different maturities, quality, and coupons. The bond's duration may be stated as either modified duration or effective duration. Modified duration assumes

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Understanding Supervision

Economics, put simply, is the study of shortages – supply vs. demand. As the demand for a product or service rises, the price of those goods or services will tend to rise. Alternatively, if the provider of those goods or services tries to flood the market with those goods or services, the price will tend to decline as the supply outpaces the demand. The supply and demand model works for all goods and services including stocks, bonds, real estate, and money. Series 65 candidates can expect to see 10 to 15 questions on economics.

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Investment Adviser State Registration

It is unlawful for an investment adviser to conduct securities business without being duly registered or exempt from registration. State registration exemptions are provided for investment advisers who:

  • Are federally registered
  • Manage portfolios for investment companies
  • Manage portfolios in excess of $100,000,000
  • Have no office in the state and conduct business exclusively with financial institutions
  • Have no office in the state and offer advice to no more than five clients in any 12-month period. This is known as the de minimis exemption
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Series 65 Study Textbook

Series 65 Exam Textbook

Paperback    450 pages    201 test questions    Published December 2015

The go to guide to acing the Series 65 exam - Our Series 65 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 65 exam. The Wiley Series 65 textbook is packed with test tips, Series 65 sample questions and all the must know information you need to pass your exam. Our Series 65 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best Series 65 material.

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Series 65 Exam Online Prep Software

Series 65 Exam Prep Software

Over 1600 questions    Works with all major browsers and mobile devices

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 65 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 65 exam.

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Series 65 Online Video Class

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24 x 7 access for 6 months    Fully interactive

Our all new series 65 video class is hands down the best series 65 online class in the market today.   Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight   test points for easy note taking. This video class walks you through all of the topics you need to know   to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 65 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 65 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 65 video features include:

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Series 65 Mobile Ebook

IOS     Android     Kindle FIRE HD     Kindle FIRE HDX     Nook HD     Nook HD +

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 65 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 65 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach.

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