Series 66 Test Specifications Sheet (Page 2 of 6) in pdf

Series 66 Test Specifications Sheet Page 2

Series 66 Test Specifications

6. benefits and risks

7. relative comparisons (e.g., benchmarks; manager tenure)

D. Futures (1)

1. definitions, costs, benefits, and risks

E. Characteristics, Risks, and Application of Alternative Investments (2)

1. exchange traded notes

2. leveraged funds

3. inverse funds

4. structured products

5. viatical/life settlements

F. Insurance Based Products (3)

1. annuities (e.g., fixed; variable; equity indexed)

2. life insurance (e.g., whole; term; universal; variable)

G. Other Assets (1)

1. investment real estate

2. commodities and precious metals

III. Client/Customer Investment Recommendations and Strategies

30%

A. Type of Client/Customer (2)

1. individual, natural person(s), sole proprietorship

2. business entities (e.g. general partnership; limited partnership; limited liability

company (LLC); corporation both C and S)

3. trusts and estates

4. foundations and charities

B. Client/Customer Profile (6)

1. financial goals and objectives

Series 66 Test Specifications Sheet Page 2