🔄 Series 65 and 66 Crossover Question Pack

If you’re preparing for both the Series 65 and Series 66 exams, you’ve likely noticed significant overlap in content — especially around topics like investment recommendations, ethics, and state regulations. Our Crossover Question Pack is designed specifically to help you master the shared material efficiently, so you can reinforce core concepts without repeating study time.

This targeted question pack gives you a strategic edge by focusing on high-yield topics found on both exams.

📘 What’s Included in the Crossover Pack

• 🔁 75 exam-quality questions that appear across both Series 65 and Series 66 domains
• 📊 Coverage of investment suitability, fiduciary duty, registration, and regulation
• 🔍 Detailed explanations for each question
• 🧠 Scenario-based format to sharpen real-world decision-making
• 🛠️ Practice for common traps, such as exemptions, administrative powers, and client profiling

🎯 Key Overlap Topics

• ⚖️ Uniform Securities Act (USA) provisions
• 🧾 Registration of agents, IARs, and firms at the state level
• 💡 Suitability and investment objectives across different account types
• 🧍‍♂️ Fiduciary standard vs. best interest standard
• 📜 Disclosure requirements, conflicts of interest, and compensation models
• 🧠 Client scenario interpretation involving ethical dilemmas and compliance

🧑‍💼 Sample Crossover Question

A registered investment adviser representative recommends a proprietary mutual fund to a client without disclosing their affiliation with the fund’s management company. What is the most significant regulatory issue?

🅰️ Lack of diversification in investment options
🅱️ Failure to conduct due diligence
🅲️ Omission of a material conflict of interest ✅
🅳️ Offering an investment with a sales charge

Correct Answer: 🅲️
Disclosure of conflicts of interest is a core requirement under both Series 65 and 66 standards. Failing to inform the client of a relationship with the fund’s manager violates fiduciary responsibility and ethical rules.

📊 Why This Question Pack Helps

• 🧠 Reinforces overlapping material through strategic repetition
• ⏳ Saves time by focusing on what matters for both exams
• 📈 Increases retention and recognition of exam patterns
• 🎓 Ideal for dual test-takers and professionals refreshing their core advisory knowledge

📥 Download the Series 65 and 66 Crossover Question Pack

Maximize your prep. Eliminate redundancy. Boost your confidence.

👉 Access the question pack now at FINRA Exam Mastery