United States
Hong KongNASAA Series 66 exam guide
Series 66 tests finance, investment products, client recommendations, state and federal securities law, and professional conduct for combined broker-dealer agent and investment adviser representative qualification.
Overview
- Questions
- 110
110 administered: 100 scored and 10 unscored pretest items
- Time
- 150 minutes
Exam time
- Format
- Multiple choice
Closed book
- Pass mark
- 73 of 100
At least 73 correct answers among the 100 scored questions; ten unscored items are not identified.
4 syllabus topicsOpen the published blueprint
| Topic | Syllabus headings | Questions on the paper |
|---|---|---|
| 1. Economic Factors and Business Information | 0 | 8 |
| 2. Investment Vehicle Characteristics | 0 | 17 |
| 3. Client/Customer Investment Recommendations and Strategies | 0 | 30 |
| 4. Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices | 0 | 45 |
Guide topics
Exam overview
Eligibility, enrollment, cost, exam format, and results.
5 articlesExam difficulty
Study time, difficulty, and readiness.
2 articlesExam topics
Economics, investment vehicles, recommendations, portfolio strategies, adviser law, and ethics.
3 articlesStudy plans
Practical preparation and revision schedules.
1 articlePractice tips
Original practice questions and worked explanations.
1 articleComparisons
Compare adviser-law exams, professional credentials, and preparation options.
3 articles