Series 66: Exemptions From Federal Registration

Taken from our Series 66 Online Guide

Exemptions from Federal Registration

The Dodd-Frank Act contains a few notable exemptions from federal investment adviser registration, namely: advisers to venture capital funds (not private equity funds), foreign private advisers with no place of business within the United States, advisers that only advise private funds with

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Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA

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Abbigayle Hanoch, LPL Financial. Ventura, NM

Hi Jeremy & Karen, I just passed my 66 today! I'm so thrilled! I had an interruption of my studies a few weeks back due to some distracting issues, but I got back on track, focused hard on the book, the practice quizzes and exams, and I made it! I'm a true believer in the value of your study materials. I'd recommend your firm's materials to anyone that wants to pass the first time they take these really challenging exams. Now I've got my Series 7 and my Series 66, and I did it with the terrific support of this Exam Prep. Thank you for these great study materials.

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Kirk, PA

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