Series 65: 8.8.3.1. Registration Exceptions

Taken from our Series 65 Online Guide

8.8.3.1. Registration Exceptions

The registration exceptions for investment adviser representatives are the same as the exceptions for investment advisers. 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).

Note: An investment adviser is responsible for supervising individuals who work for them as investment advi

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.8.3.1. Registration Exceptions, you might also be interested in:

Series 7 - Exercise

Series 24 - Fidelity Bonds

Series 79 - Chapter 5 Practice Questions

Series 24 - Regulation SHO

Series 65 - Bonus Annuities

Series 26 - Special Filing Requirements

Series 51 - Advertisements Exempt from Disclosure Requirements

Series 82 - 2.1.1. Opening an Account

Series 27 - Foreign Securities Exception

Series 66 - 9.4.9 Selling Away

Series 7 - 3.3.1. Authorizing the Bonds

Series 24 - Investment Adviser Registration

Series 53 - Transaction and Technology Assessments

Series 24 - Market Makers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time. Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email and the author/owner Jeremy Solomon actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam. Thank you Solomon Exam Prep!!!!!

Carol K. Gallagher TIAA-CREF Upstate New York

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

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 used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA