Series 66: Post-Registration Requirements

Taken from our Series 66 Online Guide

Post-Registration Requirements

Agents are not subject to as many post-registration requirements as the broker-dealers they represent, but are expected to help their broker-dealers meet all recordkeeping requirements and comply with all audits, as needed. Agents are responsible for meeting any conditions for ongoing registration set by their state, however, and providing any documentation needed as evidence of meeting such conditions.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Post-Registration Requirements, you might also be interested in:

Series 27 - Chapter Seven: The Uniform Practice Code

Series 51 - Exercise

Series 50 - Exercise

Series 63 - Suggested Notecards

Series 24 - Roth 401(k)

Series 63 - 3.1.2.3. Types of Registration

Series 7 - 2.9. Unsecured Bonds

Series 63 - Registration by Filing

Series 50 - Conduit Issuers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Passed 66 on the first try with flying colors. Solomon materials and advice was spot on. Follow it!

Craig Brand, Capital Financial Services, Nevis, MN

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

I successfully passed the series 66 test yesterday! I could honestly say it was one of the happiest days of my life! I want to personally thank the excellent staff at Solomon exam prep! They are so knowledgeable and when I asked questions, they always went over the top with explanations and even sometimes creating charts for me to break down the concept. I felt really well served by this group. If you are looking for a company to help you succeed, you have found it Within Solomon exam prep team!

Shirley Antonini. Schuylkill Haven, PA

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS