Series 66: Exemptions From Registration

Taken from our Series 66 Online Guide

Exemptions from Registration

For the exam, it is as important to know who doesn’t need to register as who does. When thinking about who is exempt from registration, you need to think about two different types of agents: agents representing broker-dealers and agents representing issuers.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Exemptions From Registration, you might also be interested in:

Series 24 - S-4 Registration: SEC Rule 145

Series 65 - Important Lagging Indicators  

Series 66 - 3.1.3.2 Mutual Fund Shares (A, B, and C Shares)

Series 52 - 9.3.2. Preservation of Books and Records

Series 24 - Common Stock

Series 51 - Rollovers

Series 66 - 5.2.2.3.2. Savings Incentive Match Plan for Employees (SIMPLE) IRA Plans

Series 22 - Representations, Warranties, and Covenants Letter

Series 28 - Annual Financial Statements

Series 66 - 7.7.4.2 Exemptions from Registration Under the Investment Advisers Act

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

I passed the Series 66 with an 82 after just a few weeks of serious studying, thanks to the Solomon Exam Simulator and study calendar! I would (and do) recommend Solomon Exam Prep to everyone!

Janie Richards, Kestra Financial, Austin, Texas

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

Thank you so much for your great study materials! I have used Kaplan in the past and this is so much better! I used your study materials to get an 84% on my Series 7 and an 85% on my Series 66! Keep up the good work!

Ivan Griffin, Roach, MO

After hearing horror stories about people struggling and in some cases failing the Series 66, after easily passing the series 7, I invested in both the Series 66 audio book and the Series 66 on-line tests. I passed my Series 66 exam with an 87%!

Mardee Formales, Wells Fargo, San Diego, CA

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT