Series 65 Lesson 33: Books & Records Requirements Explained for the Exam!
Автор: Business with Mr. G
Загружено: 2026-02-18
Просмотров: 1
Описание:
This Series 65 lesson explains Books and Records Requirements, a critical compliance topic tested on the Uniform Investment Adviser Law Examination.
Regulators rely on documentation to enforce securities laws and protect investors. The Series 65 exam frequently embeds recordkeeping violations inside scenario-based questions involving advertising, custody, supervision, and fiduciary duty.
In this long-form, regulator-focused lesson, you will learn:
• What records investment advisers must maintain
• Financial records and client agreement requirements
• Advertising and performance documentation rules
• Trade confirmations and discretionary authorization records
• Form ADV retention requirements
• Five-year retention rule explained
• Two-year easily accessible requirement
• Electronic recordkeeping standards
• Supervisory procedure documentation
• Common Series 65 exam traps involving missing documentation
Understanding books and records is essential because failure to maintain required documentation is itself a regulatory violation — even if no client harm occurred.
Perfect for:
Series 65 exam preparation
NASAA compliance review
Investment adviser candidates
Uniform Investment Adviser Law Examination study
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