Series 65: 8.7.4.2. Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 65 Online Guide

8.7.4.2. Exemptions from Registration Under the Investment Advisers Act

The Investment 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 advisers that are exempted from registration requirements. These exemptions are voluntary, and if a firm decides to take advan

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.7.4.2. Exemptions From Registration Under The Investment Advisers Act, you might also be interested in:

Series 24 - Restrictions on the Sharing of Accounts with Customers

Series 6 - 4.3.5. Exchange of Securities

Series 66 - Eurobonds and Eurodollar Bonds

Series 65 - Appendix A

Series 52 - 5.3.1.4. Yield to Put

Series 7 - 5.1.6.1. American vs. European Options

Series 66 - Sole Proprietorship

Series 63 - 5.7.8. Selling Away

Series 3 - Exercise

Series 3 - 7.3.1.2. On-Site Visits

Series 7 - Chapter Ten

Series 66 - Termination of an IAR

Series 79 - Regulatory Filing Requirements

Series 7 - 2.14.2.1. Estimating Prepayment Risk

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I could not be happier with Solomon Exam Prep and I am so glad I found it. I had taken this test prior and wasn't able to pass. After utilizing the Total Study Package for the Series 65, including the book, audiobook, summary videos and practice tests, I felt very confident clicking the submit button at the end of the test. I would highly recommend Solomon Exam Prep to pass your upcoming test.

Dane Urista, Vincent Asset Management, Eden Prairie, MN

Just wanted you to know, I passed the Series 65 exam on the first attempt. Your book was easy and enjoyable to read, all of the important information was very well explained. But I found your online quizzes and exams extremely helpful in getting the material entrenched in my memory. I was very comfortable with the format and wording of the questions on the actual exam after drilling with your online program. Thank you for enabling me to move to the next level of my career.

Robert Rosenbaum, Sarasota, FL

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

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

I am 73 years old and have been retired for 5 years. My fulfilling career of 38 years was mainly as a portfolio manager in a trust setting. A good friend of mine recently started an RIA and asked me to consider coming to work for him. Since I loved my job and retirement is boring in comparison, the decision to jump back in was rather easy. You know the old saying: if you love what you do, you will never work a day in your life. But yes, I must first pass Series 65. The study materials and whole program you have constructed are excellent. I read the phone-book sized reading materials and took many practice exams on the website. Just this morning I sat for the test and passed. Hooray!! I am convinced that your test preparation process made the exam seem easy. So I will recommend to anyone preparing for a securities exam to definitely consider getting your program. Thanks again for your outstanding program and guidance."

Rick Hinchberger Dover Advisors LLC

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY