Series 65: Investment Policy Statement

Taken from our Series 65 Online Guide

Investment Policy Statement

To help further limit an employer’s liability as a fiduciary, employers can incorporate an investment policy statement (IPS) into their retirement plan. An investment policy statement is essentially the guiding document outlining how many of the ERISA 404(c) requirements are met, including how an employer screens and selects the underlying investments and investment managers, monitors performance, limits expenses in the plan, etc.

Investment policy statements are one of the first things that the U

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Investment Policy Statement, you might also be interested in:

Series 53 - 2.5.6. Advertisements (MSRB Rule G-21)

Series 82 - Exercise

Series 14 - Exercise

Series 26 - Holding Customer Payments

Series 3 - 4.2.1.3.2. Liquidation

Series 52 - 2.4. Forms of Ownership

Series 24 - Rules for Delivery of Bonds

Series 99 - 3.2.4 Segregation of Functions and Supervision

Series 6 - 5.5. Municipal Fund Securities

Series 63 - 3.1.2. Registration of Securities

Series 79 - Use of Information Obtained in Fiduciary Capacity

Series 79 - 11.2.4. Identifying Regulatory Issues

Series 53 - Limitations on Gifts, Gratuities, and Non-cash Compensation

Series 6 - Chapter Eight

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion. Thank you for the materials.

Alesia Mullis, Churchill Financial, Louisville, KY

I finally passed the Series 65! I’m writing today to send you a very sincere Thank you for all the professional support and emotional guidance you have provided. I was emotionally beat up and almost ready to give in on my endeavor of passing the Series 65 and becoming an Investment Advisor Firm. After becoming unemployed and having a tremendous time focusing on the study material, you provided additional months and material access for no additional Fee! You also mentioned I should be able to teach the material and then I’ll be ready for the exam. By the gracious caring and professional sharing of your wisdom, it provided me to find my path to passing the Series 65! The three items that really helped was to Study like I’m going to teach it, memorizing and learn by over studying, and getting plenty of sleep and rest. Thank you to you, your family, and pro team for all you have done. I am very blessed and humbled to have met you all in this challenging time of my life. Happy Holidays, and Have a Safe and Happy New Year!

Michael Jones. Kansas City, MO

Thank you Solomon, 87% on the series 65. I thought I was nervous showing up to the exam, but the material was well above par. thanks again

Matt Callahan

I truly wish I had tried Solomon Exam Prep earlier! Started studying for the Series 65 exam with a different company and missed passing the test by 4 questions. I was pretty disappointed because my study materials, especially the quiz generator, weren't a great reflection of what the test would actually be like. But Solomon's Exam Simulator was the KEY to passing my second go-around! Questions were very similar to the actual exam and I managed to boost my score by 10% from the first time, only using the Solomon materials for less than a week! HIGHLY recommend this to anyone in need of 65 materials!

Hannah Cash, Denali Wealth Management, Indianapolis, IN

I could not be happier with Solomon Exam Prep and I am so glad I found it. I had taken this test prior and wasn't able to pass. After utilizing the Total Study Package for the Series 65, including the book, audiobook, summary videos and practice tests, I felt very confident clicking the submit button at the end of the test. I would highly recommend Solomon Exam Prep to pass your upcoming test.

Dane Urista, Vincent Asset Management, Eden Prairie, MN

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA