Must Know Concepts for the Series 66 Exam

Modern Portfolio Theory

As money management developed over the last century, analysts began to shift their focus from the returns available from individual investments to the returns available from an entire portfolio. This approach became known as modern portfolio theory. Modern portfolio theory is based on the concept that investors are risk adverse. Through diversification of investments and asset classes, portfolios can be constructed with higher levels of expected return for each unit of risk assumed. Asset classes are divided into three main categories, stocks, bonds, and, cash and cash equivalents. Portfolio managers, through modern portfolio theory, can construct portfolios based on various allocations over the three main asset classes whose return will be the greatest given each unit of risk.

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The Role of the Investment Adviser

An investment adviser charges a fee for his or her services for advising clients as to the value of securities or for making recommendations as to which securities should be purchased or sold. Unlike a broker dealer, the investment adviser has a contractual relationship with his or her clients and must always adhere to the highest standards of professional conduct.

Additional Compensation for an Investment Adviser

In addition to the fees charged by an investment adviser, an investment adviser may also:

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Registration of Broker Dealers

Prior to conducting business in any state, a broker dealer must be properly registered or exempt from registration in that state. The first test when deciding if the broker dealer must register is determining if the firm has an office in the state. If the firm maintains an office within the state it must register with that state. An agent must register in their state of residence even if their firm is located in another state.

Example:
An agent who lives in New Jersey and who commutes to their office in New York must register in both New Jersey and New York.

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Introduction

The state securities administrator has the authority to enforce all of the provisions of the Uniform Securities Act (USA) within their state. The state securities administrator may deny, revoke, or suspend the registration of a security, an agent, or a firm. The administrator may also revoke an exemption from registration, subpoena and investigate any registrant, and amend rules as required. The North American Securities Administrators Association or NASAA is the oldest investor protection organization in the country and represents the interest of all of the state securities administrators. NASAA also writes policies and administers the series 63, 65, and 66 exams.

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Series 66 Study Textbook

Series 66 Exam Textbook

Paperback    208 pages    256 test questions    Published December 2015

The "go to guide" to acing the Series 66 exam - Our Series 66 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 66 exam. The Wiley Series 66 textbook is packed with test tips, Series 66 sample questions and all the must know information you need to pass your exam. Our Series 66 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best Series 66 material.

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Series 66 Exam Online Prep Software

Series 66 Exam Prep Software

Over 1300 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 66 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 66 exam.

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Series 66 Online Video Class

Series 66 Online Video Class

24 x 7 access for 6 months    Fully interactive

Our all new series 66 video class is hands down the best series 66 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 66 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 66 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 66 video features include:

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Series 66 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 66 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 66 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.

If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders.

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Purchase the Series 7 and Series 66 Textbooks and Exam Prep software for both exams. If you are writing one exam, you are probably writing the other and this deal puts both exam prep products in your hands. This bundle includes:

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