How to Use This Book and How the Series 66 Actually Tests You
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THE EXAM STRATEGY SYSTEM
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How to Think, Decide, and Pass the Series 66 Exam
Find the controlling fact. Identify the person, product, or account. Apply the rule to the situation in front of you.
By Bruno Pereira
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Series 66 online reading, website purchases, and saved question sets are not enabled yet. The SIE, Series 7, and Options practice banks remain separate; they do not count as Series 66 practice.
The Uniform Securities Act and Who's Who
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Broker-Dealers and Agents: Who Must Register, and How
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Investment Advisers and IARs: Definitions and Registration
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Securities Registration, Exempt Securities, and Exempt Transactions
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Investment Adviser Compliance: Disclosure, Contracts, Custody, and Records
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Unethical Business Practices and Fiduciary Duty
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The Administrator: Powers, Penalties, and Remedies
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Economic Factors and Business Information
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Investment Vehicle Characteristics
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Client Profiles, Suitability, and Behavioral Finance
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Portfolio Management, Strategies, and Performance Measurement
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Taxes, Retirement Plans, ERISA, and Estate Planning
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Exam Strategy, Time Management, and Mental Control
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