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 65 - 10.9.1 Investment Advisory Fees

Series 66 - 8.1.7.1. Section 402(a) Exemptions

Series 52 - 6.3.4.1. Short- vs. Long-Term Capital Gains

Series 24 - 2.1.4.1. Supervisory Control Procedures

Series 65 - 10.2. Unlawful Representations Concerning Registrations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon Series 63 study materials were excellent. In addition, the staff was extremely helpful in answering my questions and providing advice. Special thanks to Jeremy, Karen and Craig.

Joe

All of your products are AMAZING! I passed my 6 & 63 with Solomon by my side every step of the way. Thanks again!

Stephen Snyder

I failed the 63 three times over the course of four years. I passed the first time after taking your course.

Senica Omernik, Farmers Insurance, Stevens Point, WI

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

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

Hard to believe but I never learned any English and with the help of Solomon exam prep I was able to pass the 82 and 63.

I’m so thankful to God.

Shulem Kahana, Eastern Union Funding, New York, 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 →