Series 63: 1.1.2.1.2 Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 63 Online Guide

1.1.2.1.2 Exemptions from Registration under the Investment Advisers Act

The Advisers Act provides several exemptions from federal registration. Note that the section above discussed exceptions to the definition of investment adviser. Those firms did not need to register because they didn’t meet the definition of investment adviser. This section focuses on investment advisors that are exempt from registration requirements. These exe

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 1.1.2.1.2 Exemptions From Registration Under The Investment Advisers Act, you might also be interested in:

Series 66 - 1.2. Quantitative Methods of Analysis

Series 82 - Arbitration Process

Series 65 - The Registration Statement

Series 66 - Exercise

Series 63 - Types of Registration

Series 27 - Six-Year Minimum

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the Series 63 and passed on the 1st attempt. I have my degree in Exercise Science and had no previous finance training. I highly recommend the Solomon Exam Prep. Followed the recommended study plan and passed 8 practice tests. The practice exams prepared me for the actual test and I felt like the actual test was easier then the practice tests. Thank you Solomon!

Gary Kilanowski. Scottsdale, AZ

I just passed the Series 63 after failed in the first attempt as of January. I had studied with another vendor and after some research, I decided to buy Solomon material. I felt very comfortable with the material since English is my second language. And due to the type of the exam, this was very important. It took me time to make the decision for the 2nd attempt but Karen was important to support and she convinced me. I felt very comfortable till question number 20, after that a bit stressful but be sure that you will know the subjects. Thanks Solomon!!!

Ariel Barroso, MCM. Miami, FL

Bought the exam simulator for the 63 the day before the test and passed with a 90%. Questions in the simulator were MUCH more difficult than the actual test and I had no problem. Very helpful!

Mike, New York

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

The manuals make the process of wading through all the material much more enjoyable. Ordinarily, this stuff would not be entertaining to study, but even a serious person like me could be heard laughing out loud occasionally. The on-line testing was very convenient, and being able to refer back to the missed questions was very helpful. Best of all, I passed both the 6 and 63 on the first attempt!

Blaine Burnett, Cascade Financial Advocates, Portland, OR

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management

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

Series 63: 1.1.2.1.2 Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 63 Online Guide

1.1.2.1.2 Exemptions from Registration under the Investment Advisers Act

Since you're reading about Series 63: 1.1.2.1.2 Exemptions From Registration Under The Investment Advisers Act, 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 →