Series 65: Registration By Filing

Taken from our Series 65 - NASAA Uniform Investment Advisor Law Exam

Definition of the term Registration By Filing...

also known as Registration by Notification, this is a registration option for issuers that have registered a security federally. It allows issuers who meet certain conditions to register on the state level by providing the state with certain basic information and documentation.

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I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

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David Hartzell, Cornell Capital Management, New York

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Philip Schweik, Global View Capital Advisors, Wausau, WI