Series 65: 8.6 The Uniform Securities Act

Taken from our Series 65 Online Guide

8.6 The Uniform Securities Act

The Uniform Securities Act, or USA, was created to help states write their own securities laws. The USA is designed to be model legislation for use 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

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.6 The Uniform Securities Act, you might also be interested in:

Series 24 - Management Company Rules

Series 3 - 7.2.5. Discretionary Accounts

Series 27 - Computation of Interest

Series 99 - 2.1.4.5.4 Transfer Fees

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Thank you Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

Gary Kilanowski. Scottsdale, AZ

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD