Series 66 Test Specifications Sheet (Page 5 of 6) in pdf

Series 66 Test Specifications Sheet Page 5

Series 66 Test Specifications

1. definition of an Investment Adviser

2. notice-filing requirements

3. registration/post-registration (e.g., books and records; registration maintenance

requirements)

4. exemptions for exempt reporting advisors and private fund advisors

5. Investment Adviser Representative supervision

B. Regulation of Investment Adviser Representatives (5)

1. definition of an Investment Adviser Representative

2. registration/post-registration (e.g., books and records; registration maintenance

requirements)

C. Regulation of Broker-Dealers (2)

1. definition of a Broker-Dealer

2. registration/post-registration (e.g., books and records; registration maintenance

requirements)

3. Broker-Dealer Agent supervision

D. Regulation of Agents of Broker-Dealers (2)

1. definition of an Agent of a Broker-Dealer

2. registration/post-registration (e.g., books and records; registration maintenance

requirements)

E. Regulation of Securities and Issuer (2)

1. definitions of securities and issuers

2. registration/post-registration (e.g., state registration requirements)

3. exemptions

4. State antifraud authority

F. Remedies and Administrative Provisions (2)

1. authority of state securities Administrator

2. administrative actions

Series 66 Test Specifications Sheet Page 5