Chapter Nine
Regulation of Securities and Issuers and the Powers of the Administrator
(4 questions out of 130)
In addition to questions about how the Uniform Securities Act regulates the people and firms involved with helping investors buy and sell securities and decide which securities to buy, the Series 65 also expects you to know a bit about securities issuers and the securities themselves. As well as understanding different types of investments and the suitability of different investments fo