Series 65: 2.2 The Transfer Agent And Registrar

Taken from our Series 65 Online Guide

2.2 The Transfer Agent and Registrar

Companies typically keep track of their securities issues by hiring a transfer agent, usually a bank or trust company. The transfer agent records who owns stocks and in what form, recording changes of ownership as they occur. If stock certificates are involved, the transfer agent cancels the certificates surrendered by the seller

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 2.2 The Transfer Agent And Registrar, you might also be interested in:

Series 65 - Communication with Clients and Prospects

Series 79 - 10.1. Exempt Classes of Securities

Series 52 - 7.3. Factors Influencing the Economy

Series 52 - 1.4.2. By Taxable Status

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

I passed the series 65! I used the Solomon exam prep Material to take the series 65. I had previously used the Kaplan material and did not find the materials to be that good. The book, audio tape and exam question bank were amazing. It was hard to go to the center wearing a mask during this Coronavirus time period. I don’t think I would’ve passed this Series 65 without Solomon. Thank you

Gail Abrams, The Investment Center, Inc. Watchung, NJ

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!