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Series 65 – Uniform Investment Adviser Law Exam VIP Practice Exam
Series 65 – Uniform Investment Adviser Law Exam — The Series 65 (Uniform Investment Adviser Law Examination) is administered by FINRA on behalf of NASAA; the real exam consists of 130 questions (120 scored) with a 180-minute time limit and a passing score of 72% (86/120 correct), covering economic factors, investment vehicles, client recommendations, and securities laws/regulations.
30
Questions
180m
Time Limit
72.00%
To Pass
Question 1 of 30👑 VIP
A registered investment adviser (RIA) firm manages $95 million in client assets. The firm's compliance officer informs the principal that they must switch their registration from SEC-registered to state-registered. Which of the following best describes the threshold that triggers this requirement?
Questions 2–30 and full explanations are VIP-exclusive.