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

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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.

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