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

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