Series 66: 2.1.3 The Transfer Agent And Registrar

Taken from our Series 66 Online Guide

2.1.3 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 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 2.1.3 The Transfer Agent And Registrar, you might also be interested in:

Series 6 - 5.1.7.1. Fund Distributions

Series 14 - 2.7.6. Naked Short Selling and the Locate Requirement

Series 6 - Callable Preferred Stock

Series 82 - Exercise

Series 63 - Practical Application

Series 79 - A1.8.4. Portfolio Income

Series 24 - Exchange Traded Funds (ETFs)

Series 27 - Reconfirmation of Fails to Deliver

Series 51 - Municipal Advisors

Series 54 - 3.2.5.11.2. Exemptions from Form G-37 Submission Requirement

Series 27 - Exercise

Series 66 - Net Present Value (NPV)

Series 24 - 3.7.2.3. Price Increases and Special Memorandum Accounts

Series 79 - Regulatory Requirements Relating to a Prospectus

Series 54 - Non-Solicitor Municipal Advisor Prohibitions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I could not have passed [the Series 66] without your very comprehensive program. Thanks!

Arthur Almassy, Scottsdale, AZ

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

Joshua Reeves, San Diego, CA

Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA