Series 65 Exam Prep Package: Online

New York Institute of Finance


Self Paced Course

Available Now





72 Hours





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Series 65 Exam Prep Package: Online

Passing the Series 65 exam allows an individual to represent an investment adviser and receive fee-based compensation. Upon successful completion, investment adviser representatives may provide advice, manage portfolios, and be paid for the advice provided. Fees may be charged as a percent of assets, hourly, subscription, or a flat fee.  The Series 65 Exam Prep package is presented by the Securities Institute of America, Inc., and the New York Institute of Finance.

This online, self-study package comprises 72 hours of premium exam prep content including:

180 days of instant access. 

13+ hours of video training that covers the exam prep manual chapter by chapter to ensure comprehension. 

516-page exam prep textbook and eBook.

Unlimited simulated exams and topic-focused practice exams with over 1,900 randomized questions.

Plus, comprehensive question and exam reports, checkpoint exams, greenlight exams, exam plan personal study calendar, online tools and cheat sheets, test tip videos, and phone, email, and chat support.

Prerequisite Knowledge:

  • None.


  • None.


Note: After you’ve purchased the Series 65 Exam Prep Package on, you'll receive your login details and access instructions from within 1 business day. This course will be administered on the Securities Institute's learning management portal. If you have selected Pay by Invoice, you will receive login details once NYIF has received your payment.


Learn now pay later with

To make it even easier to learn, you can finance your program through Affirm.

Loans offered through Affirm are available in the U.S. and Canada.

  • Easy monthly payments

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  • Flexible payments

    Pay your monthly bill using a bank transfer, check, or debit card.

Duration : 2.6 Hours

  • Common stock, preferred stock, rights, warrants, settlement dates, dividend distribution, voting procedures, American depositary shares, REITS and more

Duration : 2.5 Hours

  • Corporate bonds, bond pricing, calculating yields, bonds ladders, convertible bonds, bond ratings, CMOS, exchange traded notes, variable rate securities, general obligation and revenue bonds, Industrial revenue bonds, double barreled bonds, issuing municipal securities, the underwriting syndicate, competitive and negotiated offerings, underwriter’s compensation, eastern and western accounts and more

Duration : 1 Hour

  • Treasury bills, notes and bonds, Treasury pricing, STRIPS and receipts, Treasury inflation protected securities, agency issues and more

Duration : 3 Hours

  • The investment company act of 1940, types of investment companies, open end and closed end mutual funds, diversification requirements, registration requirements, the role of the board of directors, investment adviser, custodian bank and transfer agent, calculating NAV and sales charges and more

Duration : 3.6 Hours

  • Annuity registration and operation, accumulation and annuity units, annuity purchase and payout options, the assumed interest rate, Individual retirement plans, traditional, Roth and Sep IRAs, tax sheltered annuities, corporate plans, 401Ks, KEOGH plans, ERISA regulations, Tax implications, and more

Duration : 2.1 Hours

  • Fundamental analysis, the balance sheet, income statement, industry fundamentals, top down and bottom up analysis, trend lines, market indicators, efficient market theory and more

Duration : 1 Hours

  • Fundamental factors used in measuring economic activity, GDP, the business cycle, leading and lagging economic indicators, schools of economic thought, monetary and fiscal policy, the federal reserve board and more

Duration : 5 Hours

  • Professional conduct in the securities industry, fair dealing with clients, manipulative and deceptive devices, blanket recommendations, selecting suitable recommendations, Alpha, Beta, CapM, duration, convexity, calculating returns, perpetual income accounts and more

Duration : 3 Hours

  • The Securities Exchange Act of 1934, The role of the SEC, FINRA regulations and bylaws, Hiring new employees, U4s, U5s, continuing education requirements, FINRA Rule 2210 communications with the public, SIPC and more

Duration : 1.5 Hours

  • The operations of the NYSE and NASDAQ, market orders, limit orders, stop orders and not held orders, the role of the NASDAQ market makers, the role of the designated market maker on the NYSE, short sale rules and regulations, NASDAQ subscription levels, OTC securities, the third market, the 5 percent markup policy, circuit breakers and more

Duration : 2 Hours

  • Option classification, calls and puts, managing an option position, calculating maximum gain, loss and breakeven, time value and intrinsic value, using options to hedge and more

Duration : 1.5 Hours

  • Escheatment, offers, sales, form ADV, securities and non-securities, futures and forwards form ADV and more

Duration : 2.5 Hours

  • State and federal registration of broker dealers and investment advisers, capital requirements for broker dealers and investment advisers, consent to service of process, state fees and applications, rush orders and more

Duration : 2.5 Hours

  • Inter and intra state offerings, private placements and exempt transactions, Rule 144, 144A, 147, Regulation S offerings, Notice filing and more

Duration : 2.5 Hours

  • The powers and duties of the state securities administrator, the use and application of the Uniform Securities Act, stop orders, summary orders, cease and desist orders and more

Duaration : 15 Hours

Duaration : 20 Hours