Posts tagged as:

Series 66

Securities Exam Changes in 2010

February 15, 2010

Series 63, Series 65 and Series 66 Changed as of January 1, 2010
In an earlier post, we discussed that the passing grades for the Series 65 and 66 have increased.  Below is further information from the Securities Training Corporation on the changes to the securities exams in 2010.
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The Series 63, 65, and 66 Examinations Are [...]

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Series 65 and Series 66 Passing Grade Increased

November 27, 2009

IA Exams Pass Rates Expected to Plummet

The North American Securities Administrators Association (“NASAA”) recently announced that the two central investment advisor exams (the Series 65 and the Series 66) will become even more difficult.  Starting January 1, 2010 candidates will need to attain a score of 72% in order to pass the Series 65 exam [...]

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Comments on the Series 65 and Series 66 Exam

November 5, 2008

I received a couple of comments regarding my posts on the Series 65 exam and the Series 66 exam which I would like to share with the community.  Both comments were made by Chuck Lowenstein, a Senior Editor - Securities at Kaplan Financial Education.
Regarding the post Differences between the Series 65 and Series 66 Exam, [...]

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Differences between the Series 65 and the Series 66

October 16, 2008

Hedge fund managers who must register as investment advisor representatives with the SEC (through notice filings) or the state securities commission will need to have the proper FINRA exam licenses.  Generally this means that the hedge fund manager will need to have passed the Series 65 exam within two years of registration (or the license [...]

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What licenses do you need to start or manage a hedge fund?

August 24, 2008

Question: What licenses do you need to start or manage a hedge fund?
Answer: This is a question that comes up quite often. Many people wonder whether they need a series 7 license or the series 65 license or the series 3 to manage a hedge fund. First, a potential hedge fund manager does [...]

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