Series 66: Uniform Securities Act

Taken from our Series 66 Online Guide

Uniform Securities Act

To help the states write their own securities laws, the Uniform Securities Act, or USA, was created. The USA was designed to be model legislation that could be used by all states in drafting their own state legislation regarding the regulatory requirements of investment advisers, broker-dealers, and issuers of securities. No matter what state you’re taking this exam in, the state securities laws you’re studying were built using the Uniform Securities Act as a template. The version of the act that you will be tested on is the Uniform Securities Act of 1956. Since the Uniform Securities Act ties together much of the legislative intent of all the laws created before it and may represent 25% to 30% or more of the entire exam, you need to memorize the details of this law as outlined in the next few chapters.

The Uniform Securities Act states its purpose as follo

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Uniform Securities Act, you might also be interested in:

Series 66 - 4.5.4 Laddering

Series 3 - 5.3.5. Vertical vs. Horizontal Spreads

Series 66 - 5.2.2.1. Defined Benefit Plans

Series 7 - 8.2.2. Purchasing Annuities

Series 65 - 7.3.16.3 Duration

Series 65 - Suitability

Series 27 - Currency and Transaction Reporting

Series 63 - 5.3.5.1 Blanket Recommendations

Series 65 - Business Structures and Business Accounts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

Joshua Reeves, San Diego, CA

Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA