Series 65: The Uniform Securities Act

Taken from our Series 65 Online Guide

The Uniform Securities Act

To help the states write their own securities laws, the Uniform Securities Act, or USA, was created. The USA was designed to be model legislation that could be used by all states in drafting their own state legislation regarding the regulatory requirements of investment advisers, broker-dealers, and issuers of securities. No matter what state you’re taking this exam in, the state securities laws you’re studying were built using the Uniform Securities Act as a template. The version of the act that you will be tested on is the Uniform Securities Act of 1956. Since the Uniform Securities Act ties together much of the legislative intent of all the laws created before it and may represent 15% to 20% or more of the entire exam, you need to memorize the details of this law as outlined in the next few chapters.

The Uniform Securities Act states its purpose as fo

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: The Uniform Securities Act, you might also be interested in:

Series 79 - Exercise

Series 63 - Exercise

Series 51 - Chapter 3 Practice Question Answers

Series 79 - A.1.2. Categories of Financial Markets

Series 50 - OID Municipal Bonds

Series 79 - A.6.5. Corporate Bonds

Series 28 - Section Two: Customer Protection, Funding and Cash Management

Series 82 - Private Placements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

Jeff Dampf

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

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time. Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email and the author/owner Jeremy Solomon actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam. Thank you Solomon Exam Prep!!!!!

Carol K. Gallagher TIAA-CREF Upstate New York

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 passed the exam (Series 65) on the first try only using your study prep. Worked great for me!

Michael Carmody Brentwood, TN

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX