Series 65: National Securities Markets Improvement Act (NSMIA) Of 1996

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

Definition of the term National Securities Markets Improvement Act (NSMIA) Of 1996...

legislation passed by Congress that created the class of “federal covered securities” exempt from state registration. The act also prohibited states from enacting licensing qualifications for securities professionals that exceed federal requirements related to net capital, bonding, and recordkeeping.

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I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

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Series 65: National Securities Markets Improvement Act (NSMIA) Of 1996

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

Definition of the term National Securities Markets Improvement Act (NSMIA) Of 1996...

Since you're reading about Series 65: National Securities Markets Improvement Act (NSMIA) Of 1996, you might also be interested in:

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