Solomon Exam Prep attending WIFS National Conference in October
This year, Solomon Exam Prep will feature a booth at the Women in Insurance & Financial Services (WIFS) National Conference in Portland, OR on October 20-22. WIFS is a great organization dedicated to encouraging women in the financial services sector and helping them develop their talents and careers. Stop by the Solomon Exam Prep booth in the exhibit hall or meet with Professor Karen Solomon at 1 pm on Thursday the 20th for her one hour session on the NASAA Series 65 exam.
To find out more information about the WIFS National Conference this year, please click here. Learn more about WIFS as an organization by checking out their website: www.wifsnational.org.
Exam Alert: NASAA develops list of “Best Practices”
A 2010 NASAA review of broker-dealers found that the three most common compliance problem areas were failure to follow supervisory policy, advertising and sales literature, and suitability issues. NASAA developed a list of ten best practices and released them in October of 2010. The recommendations focus on suitability, exception reports, supervisory procedures, and communications. Relevant to Series 6, Series 7, Series 63, Series 65, Series 66, Series 24, Series 26, Series 62 and Series 79. The list can be found here: http://www.nasaa.org/NASAA_Newsroom/Current_NASAA_Headlines/13382.cfm.
PASS THE 65 updated for 2010 and new Series 65 Exam
First Books Publishes New Edition of Bestselling PASS THE 65
NASAA and FINRA raise the bar for the Series 65 and Series 66 Exams
Effective January 1, 2010, the NASAA and FINRA will raise the passing grade for the Series 65, Uniform Investment Adviser Law Examination, from 68.5% to 72% and for the Series 66, Uniform Combined State Law Examination, from 71% to 75%.
For more information see
NASAA Website
NASAA announces important changes to Series 63, 65 and 66 exams
NASAA announces important changes to Series 63, 65 and 66 exams
Series 65: new topics will include capital markets theory and special accounts such as college savings plans, also, the question distribution will change. In addition, the number of questions under Legal, Regulations and Guidelines, including Prohibition on Unethical Business Practices will decrease from 45 to 40.
Series 66: new topics will include capital markets theory and special accounts such as college savings plans, also, the question distribution will change. Specifically there will be fewer legal questions and significantly more questions on Economic Factors and Business Information, Investment Vehicle Characteristics and Client Investment Recommendations and Strategies.
Series 63: no new topics but question distribution will change.