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

+ 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 6 - 4.2.4. Bond Certificates

Series 66 - 9.1.8. Investment Company Communications

Series 79 - Method of Dissemination

Series 7 - 6.1 Mutual Funds

Series 24 - 5.14.11. Best Execution and Interpositioning

Series 26 - Non-Qualified Retirement Plans

SIE - SEC Rule 144: Resales of Restricted and Control Securities

Series 24 - Pink Sheets

Series 14 - 7.2.4.5.5. License and Jurisdictional Retention

Series 24 - 4.2.8.4. Current Reports: Form 8-K

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

Earlier this month I passed the Series 6 using the book and then for the Series 63, I read the book first (like always) and after that I was practicing all the time in your web page (about ten times by chapter, in order to master it). I studied the 63 in about 2 weeks and let me tell you that your website and the immediate feedback helped me a lot (I got an 85 in my test). Thank you very much!

Maricella Tenorio Bocangel, New York Life, New York, NY

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL

I passed my Series 6 and 63 [on the] first try. Test simulator helped a lot. Thanks Solomon Exam Prep.

Vaishali Lad, PNC Investments, Toledo, OH

Excellent study materials for the Series 63 exam. The practice exams were extremely helpful in my preparation and the exam simulator was a lifesaver as usual in solidifying what I learned (tip: read the answer explanations even if you got the question right). Highly recommend Solomon for the Series 63 exam.

Andrew L.