Series 65: 9.1.2.3 Types Of State Registration

Taken from our Series 65 Online Guide

9.1.2.3 Types of State Registration

The actual registration process 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

�

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 9.1.2.3 Types Of State Registration, you might also be interested in:

Series 52 - 8.4.2.3.2. Customer Account Transfers

Series 14 - 4.1.3.1. Carrying Firms

Series 79 - Chapter Eleven

Series 24 - 3.7.9. Borrowing by Brokers: Hypothecation and Rehypothecation

Series 24 - 2.2.2.10. Expungement of Customer Dispute Information

Series 66 - Exercise

Series 66 - Individual Retirement Accounts (IRAs)

Series 66 - 7.10.5.3. Reasons for Disciplining an Adviser, IAR, Broker-Dealer, or Agent

Series 79 - 11.2.5. Identifying Corporate Issues

Series 26 - Non-Cash Compensation

Series 79 - 9.6.1. Regulation FD

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

I used Solomon to prep for my Series 65 exam. I was extremely impressed with how prepared I was for the actual exam! After reviewing the chapter material and taking 7-10 quizzes for each chapter, I was scoring around a 75 average on the practice exams, I wasn't sure that would be enough to pass. However, on exam day I felt extremely confident with the material, and I passed the 65 on my first attempt with about 45 minutes to spare. Extremely satisfied with how Solomon teaches the material to truly make it stick, and also with the progress statistics that they show you, so you know what to work on. I would 100% recommend it to anyone trying to pass their Series exams!

Landry Mead, Goldman Sachs Ayco Personal Financial Management. Dallas, TX

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

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley