Series 65: Exemptions To Issuer And Security Registration

Taken from our Series 65 Online Guide

Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act (and, in turn, the Series 65 exam) continues to be as much about the exemptions from the rules as the rules themselves. In this case, even the exemptions have exemptions. In th

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David Hartzell, Cornell Capital Management, New York