Series 63: 1.3.1.2 Registration Exceptions

Taken from our Series 63 Online Guide

1.3.1.2 Registration Exceptions

IARs who work for state-registered advisers do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Test Note: An investment adviser is responsible for supervising individuals who work for them as investment adviser representatives, even if the representatives are employed as independent con

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 1.3.1.2 Registration Exceptions, you might also be interested in:

Series 24 - Selling Dividends

Series 7 - 3.1 A Quick History of Municipal Securities Regulation

Series 26 - Investment Company Exclusions

Series 51 - Custodial 529 Savings Account

Series 79 - 6.3.1. Primary vs. Secondary Offerings

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

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 material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

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

Series 63: 1.3.1.2 Registration Exceptions

Taken from our Series 63 Online Guide

1.3.1.2 Registration Exceptions

Since you're reading about Series 63: 1.3.1.2 Registration Exceptions, 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 →