Series 65: Net Capital Requirements Of Broker-Dealers

Taken from our Series 65 Online Guide

Net Capital Requirements of Broker-Dealers

As they do with investment advisers, states require broker-dealers to meet net capital requirements both prior to registration and at all times while their registration remains active. Unlike the

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Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

I passed the Series 65 today. Thanks so much. The Series 65 Exam Simulator and the iPhone app were my only study instruments. I didn't have any other study materials. Granted, I know that you encouraged me to not use the exam simulator as my sole source, but I found your practice tests to be more difficult than the actual exam. I had taken the series 65 in 1994, but it is a different test now. I received an 89%, finished 55 minutes early. I just took your exam simulator tests over and over. Funny thing, I was getting in the 75% range on your exams. Never broke 80%. Great apps! I really appreciate your generosity in extending my subscription to complete my prep. You are a good man. Thank you.

Daniel Q. Humphrey, Financial Guard, Pleasant Grove, Utah

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Paige Robino, Fisher Investments, Plano, TX

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Ashley Dunning, Inspire Investing. Kansas City, MO

The Exam Prep online exams solidified the material in my mind and allowed me to use the timer to think quickly. Although the Series 65 exam is not a race, time is a key factor. I finished the test in about and hour and 10 minutes and then spent 20 minutes going back to review the questions I marked, a couple of which I had to use logic to guess what the terms meant (always dangerous to use logic when it comes to this stuff). After completing I pressed the button to submit it for grading and the whole while my heart was pounding as I thought for sure I failed due to the length of time it took to grade (I am certain the computer was laughing at my getting so many ridiculous questions on one test). Lo and behold when the screen returned I got an 82 and I don't think that I could have done it with out your book and your online tests to hammer the info in to my head. At 45 years of age having been removed from college for to many years it was quite an arduous task especially with out a class and about 2 months to prepare part time on my own. So in a long winded way thanks I am sure I could not have passed the Series 65 without your help.

Roger Vertes, Boston, MA