Series 66: 8.1.7. Exemptions To Issuer And Security Registration

Taken from our Series 66 Online Guide

8.1.7. Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act continues to be as much about the exemptions from the rules as the rules themselves. Sometimes even the exemptions have exemptions. In

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.7. Exemptions To Issuer And Security Registration, you might also be interested in:

Series 66 - Alternative Investments

Series 51 - Chapter 5 Practice Questions

Series 26 - Misrepresenting the Member Firm’s Registration

Series 28 - Special Purpose Credit

Series 63 - Fees

Series 51 - Due Dates for Rebate Payments

Series 7 - 14.3 Types of Account Authorizations

Series 54 - Chapter One Practice Question Answers

Series 7 - Chapter 17 Practice Question Answers

Series 14 - Exercise

Series 51 - 3.6.6 Rule G-6—Qualification is Contingent on Meeting FINRA’s Fidelity Bonding Requirements

Series 7 - 2.12.5 U.S. Savings Bonds

Series 14 - 6.1.8.1.4. Education and Training of Employees

Series 63 - 3.1.5. Sales, Offers, and Other Transactions

Series 14 - 7.2.3. Becoming a Member: Investment Advisers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

I successfully passed the series 66 test yesterday! I could honestly say it was one of the happiest days of my life! I want to personally thank the excellent staff at Solomon exam prep! They are so knowledgeable and when I asked questions, they always went over the top with explanations and even sometimes creating charts for me to break down the concept. I felt really well served by this group. If you are looking for a company to help you succeed, you have found it Within Solomon exam prep team!

Shirley Antonini. Schuylkill Haven, PA

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 the Series 66 with an 82 after just a few weeks of serious studying, thanks to the Solomon Exam Simulator and study calendar! I would (and do) recommend Solomon Exam Prep to everyone!

Janie Richards, Kestra Financial, Austin, Texas

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS

Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA

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

Series 66: 8.1.7. Exemptions To Issuer And Security Registration

Taken from our Series 66 Online Guide

8.1.7. Exemptions to Issuer and Security Registration

Since you're reading about Series 66: 8.1.7. Exemptions To Issuer And Security Registration, 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 →