Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot make bad choices by itself that harm invest

+ Read More

More Series 65 Info

What are people saying?

Create an Account

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

Series 14 - 2.7.4. Close-Outs of Uncompleted OTC Trades

Series 50 - Government Securities Price Quotations

Series 50 - Business Promotional Materials

Series 82 - Employee Retirement Income Security Act (ERISA)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to thank you for your help several weeks ago. The practice questions were very helpful. I passed the exam (Series 65) on the first try with a solid score.

Alan Heacock, LPL Financial, Bedford, NH

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time.

Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

Thank you Solomon Exam Prep!!!!!

Carol Gallagher, TIAA, Syracuse, New York

The material and website were very well organized and thorough. I felt I was prepared for the actual, real test when I took it because I had gone through their range of questions with all the practice tests that I could do on their website, covering every topic, approached with different angles.

Stacey Sperry, Durham, NC

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

Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

Since you're reading about Series 65: Post-Registration Requirements, 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 →