Series 65: Regulation A

Taken from our Series 65 - NASAA Uniform Investment Advisor Law Exam

Definition of the term Regulation A...

a set of SEC rules that permits non-reporting companies who do not wish to raise more than $75 million in equity over a one-year period to avoid standard registration requirements.

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I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

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