Series 65: Types Of Registration

Taken from our Series 65 Online Guide

Types of Registration

The actual registration process itself varies slightly depending on the nature of the security being registered, previous registrations in other jurisdictions, etc. The three registration methods are:

1. Registration by qualification
2. Registration by coordination
3. Registration by filing, also known as registration by notif

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Types Of Registration, you might also be interested in:

Series 65 - 2.11.2 Treasury Notes and Bonds

Series 79 - Offerees and Purchasers: “Person Resident” (Again) and Limitation of Resales

Series 51 - Put Options and Repurchase Agreements

Series 14 - 2.3. Market Makers

Series 54 - 3.1. Municipal Advisor Registration Requirements

Series 53 - Initiating the Sale

Series 53 - 3.1.1.1. Suitability Information Requirements

Series 6 - Function Four

Series 82 - Taxing Cash Dividends

Series 66 - Mutual Fund Manager Tenure

Series 50 - Dollar/Yield Price

Series 26 - SEP Plans

Series 54 - 3.2.4.1. Approval by Principal

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I am so happy to say that took my Series 65 Exam and passed on my first attempt! All thanks must go to Solomon Exam Prep and its materials. I read the Study Guide cover to cover 3 times, took notes and took what felt like endless practice quizzes, but I must say that I found the practice questions more difficult than the actual exam! I cannot recommend Solomon Exam Prep enough!

Kevin Blanchard, Meche and Associates. Breaux Bridge, LA

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

One day while expressing my frustration to a colleague, he recommended I look up First Books' Exam Prep. I could tell immediately that this was a unique approach worth the investment. Since we implemented Exam Prep with new recruits our pass rate shot up to well over 90%.

If you or your employees want to pass your exam the first time without falling asleep while studying, I highly recommend you give their training program a try!

Kary Youman, Phillips & Co. Portland, Oregon

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

I passed the exam (Series 65) on the first try only using your study prep. Worked great for me!

Michael Carmody Brentwood, TN