Series 65: Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 65 Online Guide

Exemptions from Registration Under the Investment Advisers Act

The Investment Advisers Act provides several exemptions from federal registration. Note that the section above discussed exceptions to the definition of investment adviser. Those firms did not need to register because they didn’t meet the definition of investment adviser. This section focuses on investment advisers that are exempted from registration requirements. These exemptions are voluntary, and if a firm decides to take advantage of one of these, it may still b

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Exemptions From Registration Under The Investment Advisers Act, you might also be interested in:

Series 14 - 9.3.6. Non-Interference with the Content of Research Reports

Series 24 - 2.2.1.3. Insider Trading

Series 65 - Revenue Bonds

Series 14 - 8.1.1. Suitability

Series 63 - Termination of a Securities Registration

Series 27 - Special Margin Credit

Series 65 - Equity Funds

Series 24 - Communications that Include a Recommendation

Series 6 - 7.1.1.3. Interest Rate Risk

Series 3 - 1.4.2.5. Short and Long Basis Position

Series 6 - Exercise

Series 65 - 2.1.1.5. Right of Limited Liability

Series 65 - Sales Charge

Series 24 - Electronic Communications and Social Media

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

Passed the 65 with an 80% and the 6 with an 87%. Passed both of them on the first try. I give the credit to Solomon. I've had a lot of my friends try other vendors but they were glad to take my advice and switch to Solomon. This course helps you understand the concepts so you can think out the uniquely crafted questions the actual tests ask. Thanks so much.

Gerald Barnes, Client One, Peoria, AZ

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

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