Series 63: 1.3.1.2 Registration Exceptions

Taken from our Series 63 Online Guide

1.3.1.2 Registration Exceptions

IARs who work for state-registered advisers do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Test Note: An investment adviser is responsible for supervising individuals who work for them as investment adviser representatives, even if the representatives are employed as independent con

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