Series 65: Mutual Fund Prospectus Rules

Taken from our Series 65 Online Guide

Mutual Fund Prospectus Rules

Because mutual fund shares are issued new for each purchaser, all must be sold with a prospectus. The prospectus must be delivered prior to the point at which the customer acquires an interest in the fund, and it must be up-to-date. The SEC does not permit prospectuses that are in use for more than 9 months to have financial information in them that is more than 16 months old.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Mutual Fund Prospectus Rules, you might also be interested in:

Series 14 - 2.4.2. Transacting Business on Nasdaq

Series 54 - 3.2.5.5. Look-Back Provision

Series 6 - Exercise

Series 24 - Keogh Plans (HR-10 Plans)

Series 66 - Facts to Memorize About IRAs

Series 52 - Exercise

Series 53 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Just wanted to let all of you know that I passed the 65 on 4/19/10. I got a 76%! Not the highest score, but good enough!!! Thank you so much for all your help. Your study materials (book, audio, and exam simulator) were instrumental in my passing this test the first time! I'll be sure to let any future test takers in my office know about your products! Thanks again!

Sandy Widmer, BGR Financial Group LLC, Tucson, AZ

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65

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 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

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

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

Series 65: Mutual Fund Prospectus Rules

Taken from our Series 65 Online Guide

Mutual Fund Prospectus Rules

Since you're reading about Series 65: Mutual Fund Prospectus Rules, 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 →