Series 66: 8.1.2.2 Incorporation By Reference

Taken from our Series 66 Online Guide

8.1.2.2 Incorporation by Reference

Occasionally, the exam will ask you about a concept called incorporation by reference. This is a general legal concept that is applied under the Uniform Securities Act. Essentially, what it says is that a document about the same security or issuer filed within the previous five years can simply be referenced in a new filing.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.2.2 Incorporation By Reference, you might also be interested in:

Series 82 - 3.4.3.1. Systematic and Nonsystematic Risk

Series 24 - 2.3.4.1. Unregistered Persons

Series 52 - 3.6.5 Rule G-5—Transactions Must Conform to MSRB and Other Agency Rules

Series 79 - 9.6.1. Regulation FD

Series 65 - Active vs. Passive Management

Series 66 - 2.4.18 Foreign Bonds

Series 79 - Other Tender Offers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY

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

I purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA

Karen and Team Solomon, thank you so much for all your support. Your Series 7 program was easy to understand. The "Ask the Professor" was invaluable for the Series 66. You are the program of choice for our office.

Kirk, PA

I passed my 66 today - thank you Solomon for the assistance and materials. It was incredibly difficult! I wish I had watched the videos even more.

Jessica Koefod

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

Series 66: 8.1.2.2 Incorporation By Reference

Taken from our Series 66 Online Guide

8.1.2.2 Incorporation by Reference

Since you're reading about Series 66: 8.1.2.2 Incorporation By Reference, 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 →