Series 65: Types Of State Registration

Taken from our Series 65 Online Guide

Types of State Registration

The actual registration process itself varies slightly depending on the nature of the security being registered, previous registrations in other jurisdictions, etc. The three registration methods are:

• Registration by qualification
• Registration by coordination
• Registration by filing, also known as registration by notification

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Series 65: Types Of State Registration

Taken from our Series 65 Online Guide

Types of State Registration

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