Series 66 – Uniform Combined State Law Exam Study Guide 2026
Everything you need to pass the Series 66 – Uniform Combined State Law Exam exam in one place: the exam format, every topic to study, real practice questions with explanations, flashcards, and full-length practice tests. Free, no sign-up needed.
📚 Series 66 – Uniform Combined State Law Exam Topics to Study (67)
✍️ Sample Series 66 – Uniform Combined State Law Exam Questions & Answers
1. Under the Uniform Securities Act, which of the following is TRUE about options contracts?
Options on securities are considered securities under the Uniform Securities Act and are subject to its provisions.
2. A client says, "Buy 500 shares of XYZ today, but use your judgment on the price and timing." Is written discretionary authority required?
Time-and-price discretion on a client-specified security and quantity is not considered discretionary authority.
3. Which of the following best describes the Howey Test used to determine whether an instrument is a security?
The Howey Test defines an investment contract (and thus a security) as an investment of money in a common enterprise with profits expected from others' efforts.
4. Which of the following is a required disclosure on Form U4?
Form U4 requires disclosure of criminal history, regulatory actions, customer complaints and financial matters such as bankruptcies.
5. The administrator may deny or revoke a broker-dealer's registration if the applicant has been convicted of a felony within the past:
The Act allows action for any felony conviction within the past 10 years, or a securities-related misdemeanor at any time.
6. Which of the following may the Administrator do during an investigation?
The Administrator may subpoena witnesses, take evidence, and require production of records.
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