Series 66: Post-Registration Requirements

Taken from our Series 66 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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I passed the Series 66 exam with an 83 this morning! I wanted to personally thank you for all the help you have given me. Your method of presenting the information needed to pass these exams is outstanding (I only had two weeks to study). In the future I wouldn't even consider using another resource to tackle the preparation for a Series exam. Moving forward in my career I will be sure to pass this information on to friends and colleagues without hesitation.

Michael F. Lee, Jr. Hatteras Funds, Raleigh, NC

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Marshall Wolfe, Hopkinsville, KY

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Maria Raspa, Merrill Lynch, Wellesley Hills, MA

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Scott Harrison The Standard Woodland Hills, CA