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Series 65 Exam Prep

Bunch
  • 4.0 (1)
  • COURSES

Series 65 Exam Prep | Investment Advisor Representative Test Preparation Pass the Series 65 with confidence. This podcast delivers clear, structured, exam-focused audio lessons designed to help you master the knowledge required to become an Investment Advisor Representative. Each episode breaks down key testable topics including: • Economic factors and business cycles • Investment vehicle characteristics and risks • Client investment recommendations and portfolio strategies • Laws, regulations, and ethical practices • Retirement planning, insurance, and tax considerations Content is organized to follow the actual exam blueprint so you can study efficiently whether you are commuting, working out, or reviewing before test day. Expect concise explanations, high-yield definitions, scenario walkthroughs, and memory frameworks that reinforce long-term retention. This podcast is ideal for: • First-time Series 65 candidates • Professionals adding the 65 to an existing license • Audio learners who want structured repetition New episodes are released in a logical study sequence so you can progress from foundational concepts to advanced application. Disclaimer: This podcast is for educational purposes only and is not affiliated with FINRA, NASAA, or any regulatory organization. The audio is generated using AI voice technology. It should not be considered financial advice or a substitute for official study materials.

  1. MAR 1 • SUBSCRIBERS ONLY

    Episode 25 — Market Structure

    In this episode, we break down how financial markets actually function behind the scenes. You’ll learn the difference between primary markets, where new securities are issued, and secondary markets, where investors trade existing assets and establish market prices through supply and demand. We compare the roles of broker-dealers and investment advisers, highlighting how their compensation models, regulatory obligations, and standards of care shape the way they work with clients. From there, we explore the Efficient Market Hypothesis and what it means for active versus passive investing, along with the real-world impact of behavioral biases like overconfidence, loss aversion, and herding. We also cover the mechanics that keep markets moving, including liquidity, price discovery, market makers, and common order types such as market, limit, and stop orders. Finally, we explain how centralized exchanges and over-the-counter networks operate, and how regulatory frameworks help maintain transparency, fairness, and best execution. This episode gives you a complete, exam-focused understanding of market structure and the participants, psychology, and trading systems that drive it.

    42 min

  2. MAR 1 • SUBSCRIBERS ONLY

    Episode 26 — Suitability Case Studies

    In this episode, we apply the core principles of suitability to real client scenarios. You’ll learn how to match investment recommendations to a client’s financial profile, including risk tolerance, time horizon, tax status, and liquidity needs. We walk through portfolio strategies for conservative investors focused on capital preservation and income, as well as high-net-worth clients seeking tax efficiency and long-term growth. We also break down retirement income planning, covering sustainable withdrawal strategies, diversification, and ways to manage sequence of returns risk. Along the way, we highlight the regulatory requirement to act in the client’s best interest and the importance of documenting a clear suitability analysis. This episode gives you practical frameworks you can use on exam questions and in real-world client conversations to build compliant, risk-appropriate portfolios.

    33 min

  3. MAR 1 • SUBSCRIBERS ONLY

    Episode 27 — Regulation Scenario Questions

    In this episode, we walk through a clear framework for analyzing complex regulation scenarios on exam day. You’ll learn how to identify the key actor, the activity taking place, and the jurisdiction that determines whether registration is required. We break down common violations such as fraud, misrepresentation, churning, and unauthorized trading, and we clarify the registration thresholds for investment advisers, representatives, broker-dealers, and agents. You’ll also review the rules governing advertising, including prohibited testimonials and performance claims, along with the custody safeguards designed to protect client assets. Finally, we highlight fiduciary duties, recordkeeping requirements, and the red flag language that often signals a compliance issue in scenario-based questions. This episode is designed to help you quickly spot violations and choose the best answer with confidence.

    39 min

  4. MAR 1 • SUBSCRIBERS ONLY

    Episode 28 — High-Yield Law Rapid Drill

    In this final review episode, we lock in the most testable rules under the Uniform Securities Act. You’ll learn exactly what powers the state Administrator has, including investigations, subpoenas, and enforcement actions, and why criminal jail sentences fall outside their authority. We break down the key compliance timelines you must know, such as the thirty-day effectiveness window for registrations and the required delivery timing for the Form ADV brochure. We also cover recordkeeping rules, including the five-year retention requirement and the two-year on-site storage mandate. This episode is a rapid, high-yield drill designed to help you memorize filing deadlines, disclosure obligations, and administrative procedures so you can spot the correct answer immediately on exam day.

    31 min

  5. MAR 1

    Episode 29 — Top Testable Facts

    In this episode, we bring together the most testable legal rules you need to know for exam day. We cover the critical timelines for registration, recordkeeping, and required filings, along with the division of authority between state securities administrators and the court system. You’ll review the core definitions that determine who must register as an investment adviser, representative, broker-dealer, or agent, and which securities and transactions qualify for exemptions. We also reinforce fiduciary obligations, custody safeguards, and the advertising rules that prohibit misleading performance claims or the improper handling of client funds. This episode is designed as a structured, high-yield summary to help you quickly recognize key legal concepts, avoid common traps, and answer regulation questions with confidence.

    43 min

  6. MAR 1

    Episode 30 — Exam-Day Strategy & Confidence Plan

    In this episode, we build your exam-day game plan. You’ll learn how to use the three-pass method to lock in easy points first, work through moderate questions with process of elimination, and approach difficult math and scenario problems with a clear strategy. We cover when to guess, how to recognize regulatory and suitability keywords, and why eliminating even one wrong answer significantly improves your odds. You’ll also get a practical time-management framework that divides the exam into thirds so you can finish every question without rushing. Finally, we walk through simple mental reset techniques to control anxiety and maintain focus under pressure, along with a final checklist to review before you submit your test. This episode is your blueprint for staying calm, working efficiently, and performing with confidence on exam day.

    41 min

  7. FEB 27 • SUBSCRIBERS ONLY

    Episode 17 — Registration of Persons

    Episode 17 breaks down one of the most testable areas of the Uniform Securities Act: the registration of persons. Instead of focusing on securities, this episode clarifies who must register, where they register, and when they are exempt. You’ll learn the critical distinction between investment advisers (the firms) and investment adviser representatives (the individuals), and how regulators determine jurisdiction based on assets under management. We walk through the federal versus state registration framework, including when a firm qualifies as a federal covered adviser, what that means for state notice filings, and why IARs still register at the state level. The episode also explains the de minimis rule in plain language so you can quickly identify when an adviser can avoid state registration by maintaining no office and serving five or fewer retail clients. Finally, we cover the most commonly tested exemptions and exclusions, including institutional-only advisers, banks, and professionals whose advice is incidental to their primary role. If you want a clear compliance roadmap and the exam logic behind who registers where and why, this episode will lock in the rules and help you avoid the classic test traps.

    37 min

  8. FEB 27 • SUBSCRIBERS ONLY

    Episode 18 — Registration of Securities

    Episode 18 dives into the registration of securities and the critical question every test candidate must answer: when does a security need to be registered and when does it qualify for an exemption? We break down the difference between exempt securities, which are permanently excluded from state registration because of their low-risk issuers like government and nonprofit entities, and exempt transactions, where the method of sale determines whether filing is required. You’ll learn how private placements work, why institutional trades are treated differently, and how the intrastate offering exemption allows companies to raise money locally as long as every part of the deal stays within one state. Most importantly, we reinforce the golden rule of securities regulation: even when a filing exemption applies, anti-fraud laws always apply. This episode gives you a clear, exam-focused framework to quickly identify which offerings require registration, which qualify for exemptions, and where candidates commonly get tripped up.

    54 min
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About

Series 65 Exam Prep | Investment Advisor Representative Test Preparation Pass the Series 65 with confidence. This podcast delivers clear, structured, exam-focused audio lessons designed to help you master the knowledge required to become an Investment Advisor Representative. Each episode breaks down key testable topics including: • Economic factors and business cycles • Investment vehicle characteristics and risks • Client investment recommendations and portfolio strategies • Laws, regulations, and ethical practices • Retirement planning, insurance, and tax considerations Content is organized to follow the actual exam blueprint so you can study efficiently whether you are commuting, working out, or reviewing before test day. Expect concise explanations, high-yield definitions, scenario walkthroughs, and memory frameworks that reinforce long-term retention. This podcast is ideal for: • First-time Series 65 candidates • Professionals adding the 65 to an existing license • Audio learners who want structured repetition New episodes are released in a logical study sequence so you can progress from foundational concepts to advanced application. Disclaimer: This podcast is for educational purposes only and is not affiliated with FINRA, NASAA, or any regulatory organization. The audio is generated using AI voice technology. It should not be considered financial advice or a substitute for official study materials.

Information

  • Creator
    Bunch
  • Years Active
    2K
  • Episodes
    30
  • Provider
    Maren Bunch

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