Series 63: 1.1.2.1.2. Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 63 Online Guide

1.1.2.1.2. Exemptions from Registration under the Investment Advisers Act

The Advisers Act provides several exemptions from federal registration. Note that the previous section 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 advisors that are exempt from registration requirements. These exemptions are voluntary, and if a firm decides to take advantage of

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