What is the Series 66 Exam?
Series 66 Exam Prep the Series 66 Exam is one of 2 Exams (the other being the Series 65 Exam) which may lead you to becoming an Investment Advisor Representative (IAR) Representative (representing a fee based Registered Investments Advisor)
The Series 66 exam — the NASAA Uniform Combined State Law Examination — is a state exam from North American Securities Administrators Association (NASAA) the exam is administered by FINRA.
The exam is 100 scored questions. Those sitting for the exam have 150 minutes to complete the exam. In order for a candidate to pass the Series 66 Exam, the candidate must correctly answer at least 73 of the 100 scored questions.
There is no prerequisite for the Series 66 examination. However, the Series 7 examination is a co-requisite to the Series 66 Examination. In other words to use this exam to allow the individual to act as a IAR the individual must also pass the Series 7 Exam and the Securities Industry Essentials Exam (SIE Exam) is a co-requisite to the Series 7 Exam
This route requires the candidate to have been sponsored by a FINRA Registered Firm at some point in order to pass the Series 7 Exam.
So to qualify as a Registered Investment Advisor Representative under the Series 66 Exam you must pass… in this preferred order:
SIE Exam
Series 7 Exam
Series 66 Exam
Links to most of our FINRA Lessons may be found HERE
Get an Outline for the Series 66 Exam
Series 66 Prep Audio Lessons
Series 66 Exam Prep Audio Lessons for the FINRA Series 66 Exam
71 Audio Lessons
30 hours 21 min
Table of Contents
Title Min Sec
Lesson 1 Macro Economic Analysis pt 1 34 36
Lesson 2 Macro Economic Analysis pt 2 32 18
Lesson 3 Yield Curve Balance of Payments and Currency Risk 31 37
Lesson 4 Financial Statements Balance Sheet pt 1 29 46
Lesson 5 Financial Statements Balance Sheet pt 2 25 33
Lesson 6 Financial Statements Balance Sheet pt 3 36 52
Lesson 7 Financial Statements Income Statement pt 1 33 57
Lesson 8 Financial Statements Income Statement pt 2 32 55
Lesson 9 Financial Statements Income Statement pt 3 28 42
Lesson 10 Financial Statements Cash Flow Statement pt 1 17 7
Lesson 11 Financial Statements Cash Flow Statement pt 2 23 39
Lesson 12 Discounted Cash Flow Model 13 9
Lesson 13 Ratio Analysis 14 48
Lesson 14 Technical Analysis 18 53
Lesson 15 Common Stock 38 5
Lesson 16 Preferred Stock 26 5
Lesson 17 Special Securities 17 36
Lesson 18 Fixed Income pt 1 25 22
Lesson 19 Fixed Income pt 2 41 16
Lesson 20 Fixed Income pt 3 40 35
Lesson 21 Money Market 20 2
Lesson 22 CDS ARS SP 27 25
Lesson 23 Municipal Debt 37 2
Lesson 24 Mutual Funds pt 1 28 59
Lesson 25 Mutual Funds pt 2 22 18
Lesson 26 Mutual Funds pt 3 31 37
Lesson 27 ETF ETN and Corp Actions 21 34
Lesson 28 Unit Investment Trusts 31 17
Lesson 29 Annuities 29 37
Lesson 30 Life Ins Viatical Settlements 21 39
Lesson 31 Partnerships 31 54
Lesson 32 REIT’s 31 37
Lesson 33 Present Value, Net PV, IRR, Commodities, Precious Metals 25 46
Lesson 34 Options pt. 1 22 11
Lesson 35 Options pt. 2 21 29
Lesson 36 Options pt. 3 18 22
Lesson 37 Options pt. 4 20 33
Lesson 38 Options pt. 5 30 10
Lesson 39 Options pt. 6 22 21
Lesson 40 Accounts and Anti Money Laundering 29 33
Lesson 41 Accounts and Anti Money Laundering pt 2 14 32
Lesson 42 Account Registration and Anti Money Laundry Rules 16 38
Lesson 43 Client Types and Appropriate Investments 37 52
Lesson 44 Know Your Customer and Portfolio Strategies 30 1
Lesson 45 Investment Taxation 35 55
Lesson 46 IRA Accounts 31 39
Lesson 47 Keogh Plans and Defined Contribution Plans 26 4
Lesson 48 Defined Pension Plans and Contribution Plans 22 10
Lesson 49 Inherited IRA’s, Non Qualified Plans, ERISA, Investment Policy Statement 20 28
Lesson 50 UGTMA, Trusts and Wills, Qualified Domestic Relations order (QDROs) 22 39
Lesson 51 Trading Markets Pt 1 Markets and Order Tickets 25 40
Lesson 52 Trading Markets pt 2 Order Types, Specalists and Dealers 27 23
Lesson 53 Trading Markets pt 3 Rules 34 12
Lesson 54 Trading Markets pt 4 Options 12 35
Lesson 55 Securities act of 1933 and 144 stock 34 2
Lesson 56 Securities and Exchange Act of 1934 and Insider Trading 38 19
Lesson 57 Investment Company Act of 1940 11 22
Lesson 58 Sarbanes Oxley and Blue Sky Laws 22 28
Lesson 59 Investment Advisors Act of 1940 Pt 1 27 25
Lesson 60 Investment Advisors Act of 1940 Pt 2 24 43
Lesson 61 Investment Advisors Act of 1940 Pt 3 28 30
Series 66 Lesson 62 Series 63 Introduction 2 27
Series 66 Lesson 63 Customer Accounts 1 27 31
Series 66 Lesson 64 Customer Accounts 2 21 27
Series 66 Lesson 65 Customer Accounts 3 29 7
Series 66 Lesson 66 Business Practices 20 7
Series 66 Lesson 67 Reg Lic pt 1 18 19
Series 66 Lesson 68 Reg Lic pt 2 23 39
Series 66 Lesson 69 Reg Lic pt 3 22 1
Series 66 Lesson 70 Securities Registration 33 14
Series 66 Lesson 71 Adiministrative Procedures 21 56
Series 66 Lesson 72 SECURE Act and Accredited investors 18 20
