Series 65: Exemptions From Registration

Taken from our Series 65 Online Guide

Exemptions from Registration

For the exam, it is as important to know who doesn’t need to register as who does. When thinking about who is exempt from registration, you need to think about two different types of agents: agents representing broker-dealers and agents representing issuers.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

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

Series 50 - Chapter 1 Practice Question Answers

Series 53 - 4.2.1.1.3. Bond Counsel

Series 66 - 2.5.1.1 Factors Affecting a Bond’s Value

Series 14 - 7.2.3.2. Investment Adviser Registration

Series 99 - 3.4.1 Key Controls and the Separation/Segregation of Duties

Series 54 - 3.2.5.5. Look-Back Provision

Series 27 - Time Limits and Time Extensions

Series 82 - 3.2.4.1. Direct Foreign Investment

Series 79 - Permitted Use

Series 63 - Net Capital Requirements

Series 6 - 4.2. Debt Securities

Series 28 - Nontransferable Assets

Series 53 - 4.2.4.1.1. SEC Reasonable Basis Standard

SIE - Exercise

Series 7 - 3.3 Issuing Municipal Debt

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Passed Series 65 (80%) on first attempt. THANK YOU, Solomon Exam Prep and all of your VERY helpful and courteous staff! Will be back for next two exams.

James M., Fort Lauderdale, FL

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 passed the exam (Series 65) on the first try only using your study prep. Worked great for me!

Michael Carmody Brentwood, TN

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Very good material and well planned to help you pass the first time (Series 65). The audio tape structure is easy to listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend.

Carlos Acosta, GoldBox Wealth, San Antonio, TX

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 65: Exemptions From Registration

Taken from our Series 65 Online Guide

Exemptions from Registration

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

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →