Series 66: Exemptions From Federal Registration

Taken from our Series 66 Online Guide

Exemptions from Federal Registration

The Dodd-Frank Act contains a few notable exemptions from federal investment adviser registration, namely: advisers to venture capital funds (not private equity funds), foreign private advisers with no place of business within the United States, advisers that only advise private funds with

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Thank you so much for your great study materials! I have used Kaplan in the past and this is so much better! I used your study materials to get an 84% on my Series 7 and an 85% on my Series 66! Keep up the good work!

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Sarah Boone, Wells Fargo, Atlanta, GA

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Pablo Serna, Silicon Valley Bank, Menlo Park, CA

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Mardee Formales, Wells Fargo, San Diego, CA