Series 65: 8.8.2 Net Capital Requirements Of IARs

Taken from our Series 65 Online Guide

8.8.2 Net Capital Requirements of IARs

Unlike the investment adviser they work for, investment adviser representatives do not have to prove that they can meet certain capital requirements to register. In other words, even if she has a negative net worth (owes more than she’s worth), an investment adviser representative can still maintain her registration.

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