Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot make bad choices by itself that harm invest

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I took the Series 65 Exam and passed with a good score. Thank you for all the materials. I did have to put a lot of study time into it but with hard work, your materials and prayer I passed!

Carla Martinez, GoodFuture, Laguna Beach, CA

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David Hartzell

Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

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