学习材料
用通俗易懂的方式掌握考试的每个主题。
State Securities Laws & Regulations
The regulatory framework of the Uniform Securities Act, the Investment Advisers Act of 1940, and NASAA model rules: registration of broker-dealers, agents, investment advisers, and IARs; exempt securities versus exempt transactions; administrator powers; and the ethical and fiduciary obligations owed to clients.
Client Recommendations & Investment Strategies
Building a client profile and making suitable recommendations: risk, asset allocation and portfolio construction, taxation, retirement and estate planning, trading approaches, and performance measurement used to serve the client's objectives.
Investment Vehicle Characteristics
The features and risks of equity, debt, pooled, derivative, and insurance-based products, and how each fits different client needs and risk profiles.
Economic Factors & Quantitative Methods
Macroeconomic concepts and quantitative tools relevant to advising clients: the business cycle, monetary policy, inflation, and measures used to interpret economic conditions and investment value.
Practice by topic
Jump straight into free practice questions for any single NASAA Series 66 content area.