Series 65: Exemptions To Issuer And Security Registration

Taken from our Series 65 Online Guide

Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act (and, in turn, the Series 65 exam) continues to be as much about the exemptions from the rules as the rules themselves. In this case, even the exemptions have exemptions. In th

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Exemptions To Issuer And Security Registration, you might also be interested in:

Series 54 - Engineering Exclusion

Series 79 - 2.4. Suitability Obligations

Series 7 - 9.4.1.5.3.2 Fully Diluted Earnings Per Share

SIE - 3.9.2. Variable Annuities

Series 52 - Rule G-18—Fair and Reasonable Price Execution

Series 24 - 3.11.3.2. Financial Performance Disclosures

SIE - Nontraditional ETFs

SIE - 8.3.4. Opening a Margin Account

Series 7 - 3.6.38. Rule G-40—Electronic Mail Contacts with the MSRB

Series 52 - 4.5.2. Type of Issuance and Source of Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just passed my Series 65 exam yesterday!! Your study material was awesome! Unfortunately, they only provided pass/fail and no specific grade because I wanted to know how well I did. Thanks so much!

Cheryl Fluker, Members Advisory Group, Williamsville, NY

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

The Exam Prep online exams solidified the material in my mind and allowed me to use the timer to think quickly. Although the Series 65 exam is not a race, time is a key factor. I finished the test in about and hour and 10 minutes and then spent 20 minutes going back to review the questions I marked, a couple of which I had to use logic to guess what the terms meant (always dangerous to use logic when it comes to this stuff). After completing I pressed the button to submit it for grading and the whole while my heart was pounding as I thought for sure I failed due to the length of time it took to grade (I am certain the computer was laughing at my getting so many ridiculous questions on one test). Lo and behold when the screen returned I got an 82 and I don't think that I could have done it with out your book and your online tests to hammer the info in to my head. At 45 years of age having been removed from college for to many years it was quite an arduous task especially with out a class and about 2 months to prepare part time on my own. So in a long winded way thanks I am sure I could not have passed the Series 65 without your help.

Roger Vertes, Boston, MA

I want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana

Very good material and well planned to help you pass the first time (Series 65). The audio tape structure is easy to listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend.

Carlos Acosta, GoldBox Wealth, San Antonio, TX

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 65: Exemptions To Issuer And Security Registration

Taken from our Series 65 Online Guide

Exemptions to Issuer and Security Registration

Since you're reading about Series 65: Exemptions To Issuer And Security Registration, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →