Series 65: Prospectus Delivery Requirements

Taken from our Series 65 Online Guide

Prospectus Delivery Requirements

To further protect investors from shady new issues, the law requires a prospectus (detailed description of the issue) to be delivered to each investor who purchases a security that has been newly issued by the completion of the transaction, which means the time that the security settles.

A prospectus contains a large amount of the factual data about a security offerin

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Prospectus Delivery Requirements, you might also be interested in:

Series 63 - Selling Away

Series 82 - 3.6.3. Six-Year Records

Series 51 - Disclosures to Issuers (MSRB Rule G-17)

Series 65 - 7.2.1.2.2.1. The Price Declines

Series 63 - Suggested Notecards

Series 63 - Margin and Lending Specific Rules

Series 53 - 5.6. Credit Enhancement

Series 79 - Restrictions on Retaining IPO Shares in a Member Account

Series 54 - 2.3.3. Key Documents and Disclosure Requirements for a Municipal Offering

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

Most Sincerely,

David Hartzell

Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I had my licenses but I let them lapse after I sold my firm. Now we're starting a new firm and I needed a refresher and studied your book and used the exam simulator. I passed the Series 65 and your materials were a big help. Now I am back for the Series 7 and I want your book, audio book and exam simulator. Thanks for an excellent product.

Jason Luquire Pawleys Island, SC

Passed the 65 with an 80% and the 6 with an 87%. Passed both of them on the first try. I give the credit to Solomon. I've had a lot of my friends try other vendors but they were glad to take my advice and switch to Solomon. This course helps you understand the concepts so you can think out the uniquely crafted questions the actual tests ask. Thanks so much.

Gerald Barnes, Client One, Peoria, AZ

I truly wish I had tried Solomon Exam Prep earlier! Started studying for the Series 65 exam with a different company and missed passing the test by 4 questions. I was pretty disappointed because my study materials, especially the quiz generator, weren't a great reflection of what the test would actually be like. But Solomon's Exam Simulator was the KEY to passing my second go-around! Questions were very similar to the actual exam and I managed to boost my score by 10% from the first time, only using the Solomon materials for less than a week! HIGHLY recommend this to anyone in need of 65 materials!

Hannah Cash, Denali Wealth Management, Indianapolis, IN