which administers the exam, does not release Series 65 pass rates. The test covers financial industry regulation, securities law, ethics, investments and economics. All these topics factor into a ...

NEW YORK (Reuters) - The U.S. Securities and Exchange Commission told staff on Wednesday it plans to shake up its enforcement ...

They also have specific requirements and regulations that ... advisors (RIAs) are financial firms To form an RIA, investment advisors must pass the Series 65 exam (or equivalent).

Drexel University Kline School of Law’s online LLM in Global Financial Regulation is designed for attorneys looking for advanced skills in legal regulatory analysis and policy pertinent to their ...

To obtain their licenses, financial advisors must ... securities industry and covers markets, regulation, risk and prohibited actions. The rigor of the exam trips up many candidates.