Archived. That’s what I’m worried about.One last question - why do you say the 66 is easier than the 7?
I'm confident that I would not have passed if I had not used it. Like layhe said, it was a bell curve test with the first 10 and the last 10 questions being chip shots, real easy questions. I found them to be more difficult than they really need to be, and STC quizes on a lot of random crap that will never even be on the test. Presented online plus as a one-time download.
I read all of the chapters then took the practice test. Thanks for starting this thread!Jhud, there are a couple of reasons… There is much less material to study and the exam is no where as long as the 7. One overlooked detail regarding any materials provider is the their explanations to answers. Start studying Series 66 Quick Sheet. One might say that a higher passing score for the 66 would make the 66 more difficult to pass. You will have 2.5 hours to complete the exam. It is not a sale untilIf a B/D (or anyone else) gives a security as a bonus with a purchase of anything (other than stock, a car, or house) that bonus is consideredHow may days does an issuer have to appeal a stop order to the appropriate courts?May the Administrator issue a cease and desist order with or without prior noticewithout prior notice, an action taken by the Administrator, is legal so long as within 15 days of receipt a written request for a hearing is grantedWith AUM of $110 million or more an IA would be registered...With AUM of $100 million of less an IA would be registeredAn IA registered in 15 states with AUM of less than $100 million would qualify forFederal registration with the SEC, even though is does not meet the AUM requirement of $110 million$20 million, as long as assets remain above $90 million and recover above $110 million within 12 months an adviser is allowed to remain federally coveredIf any advisers clients are investment companies the IA mustWhat 4 professional types are excluded from the definition of an IA as long as the advice is incidental to the practice of their profession.An IA exercising discretion needs how much in net worth of surety bonds under USA?An IA maintaining custody of customer funds/securities needs _____ net worth or surety bond under USA?If a state-covered IA meets the bonding and record keeping requirements of it's home state, is that sufficient for any other state in which the IA is registered or must the IA abide by each states guidelines?If the IA meets its home state requirements, that is sufficient to do business in other states, in which the IA is registered withIs it permissible for a state to have rules and guidelines more stringent than that of the federal government (SEC)?No, state shall enforce rules an guidelines greater than that of the SEC's mandatePerformances based compensation is permissible for an IA only if the client isan Investment Company or a qualified investor meeting certain minimum net worth requirements or having a certain amount of AUM with the adviserthe IA represents both sides and receives commissions from both sides, the IA must disclose the nature of the relationshipIt is unethical for an IA to direct clients to trade in securities in which the adviser has an undisclosed interest, why?A client purchasing those securities could cause the value of the securities to increase, thereby increasing the advisers positionIs a blanket recommendation of the same security to all clients isa prohibited practice, a particular security may not be suitable for all clients, based on their profile and their goalsUnder state and federal law, a person is deemed to be in control of an IA with an ownership level of at leastIf an I has custody of funds, statements must be sent to clientsIf the IA's brochure (ADV Part 2A and Part 2B) is not delivered at least 48 hours prior to entering into the contract the client hasBoth state and federally covered IA's must deliver the brochure no later than _________.
However, I felt that (like STC) they test on things that were never going to be on the test, which was frustrating. The Series 66 Exam is computer-based, and includes 110 multiple-choice questions. The book was absolute torture to read, as I had to read 2 chapters a day…several of them 30 page chapters. Working with challenging, comprehensive material should help you pass the exam and also help in your career./sites/all/themes/penton_subtheme_wealthmanagement/images/logos/footer.png
Make sure you’re going over the areas that you do poorly in. My firm has us take those all closed book instead of open and wants an average of at least 70.
Also, a 50% weight to law can make the 66 difficult for some people.Yes I understand that 75 is a passing score. Series 66 Dump Sheet. Next are the “closed book” practice tests I will take starting tomorrow and all next week until I take the real thing. Glad to know I have the right material!
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