Series 65: Direct Registration

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

Definition of the term Direct Registration...

registration of a security on an issuer’s books in the owner’s name, where either the issuer or its transfer agent holds the security in book-entry form on the owner’s behalf.

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I am so happy to say that took my Series 65 Exam and passed on my first attempt! All thanks must go to Solomon Exam Prep and its materials. I read the Study Guide cover to cover 3 times, took notes and took what felt like endless practice quizzes, but I must say that I found the practice questions more difficult than the actual exam! I cannot recommend Solomon Exam Prep enough!

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Tammy Gladstone, State Farm Insurance, California, MD

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Series 65: Direct Registration

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

Definition of the term Direct Registration...

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

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