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

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