Jeffrey Fabian

(Kaplan) Uniform Investment Adviser Law Exam Manual

1 min read

Introduction

  • you need a 72% to pass and when you complete the exam all you’ll know is if you passed (no score) or a score when you fail.

High level topics in the exam

  • Economic Factors and Business Information : 15%
  • Investment Vehicle Characteristics: 25%
  • Client Investment Recommendations & Strategies: 30%
  • Laws, Regulation and Guidelines, Including Prohibitions on Unethical Business Practices: 30%
  • The book is organized in 4 parts based on the topics on the exam
    1. Read a part, unit by unit
    1. Do the exercises at the end of each part
    1. When you get something wrong, review the rationale
    1. Use the SecuritiesPro QBank to do some more targeted/accurate practice
    1. Again, if you get it wrong, review the rationale
    1. Once you’ve gone through all of these, do the more comprehensive (timed) exams
    1. Take the full practice exam
    1. Take the mastery exam

(part 1) laws, regulation and guidelines, including prohibitions on unethical business practices

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