Series 65: Regulatory Risk

Taken from our Series 65 Online Guide

Regulatory Risk

Regulatory risk is the risk that an investment or security could suddenly devalue or experience a drop in its potential returns due to a change in the laws or regulatory environment of an industry or country. An example would be

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Regulatory Risk, you might also be interested in:

Series 65 - Types of DPPs

Series 99 - 2.3.2 Custody and Control of Securities

Series 24 - 3.1.5. Identity Theft

Series 65 - Chapter 8 Practice Question Answers

Series 63 - 4.1. Disclosure

Series 24 - State Registration

Series 51 - Monitoring Written Correspondence

Series 65 - Investment Policy Statement

Series 53 - Calculating Accrued Interest

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Your material was great. I took the Series 65 in March [2010] and passed with a 90%.

Mark S., Baker, Vermont

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA