Series 65: 9.1.2.1. The Registration Statement

Taken from our Series 65 Online Guide

9.1.2.1. The Registration Statement

The registration statement is an important part of the SEC’s security registration process. A registration statement must include a description of both the issuer’s business and the securities being offered, certified financial statements, a

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 9.1.2.1. The Registration Statement, you might also be interested in:

Series 52 - 3.5.3. Underwriter Recordkeeping Responsibilities

Series 82 - Taxing Cash Dividends

Series 24 - 4.6.8. Supervisory Procedures

Series 99 - 3.3.2.4 Filing Requirements and Review Procedures

Series 63 - Sharing Profits and Losses in a Customer Account

Series 65 - Investment Advisers Act of 1940

Series 3 - 7.3.2. Handling Customer Accounts

Series 63 - Exercise

Series 79 - 1.1.9. Going Private and Tender Offers: Schedule 13E-3, Schedule TO, and Schedule 14D-9

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

One day while expressing my frustration to a colleague, he recommended I look up First Books' Exam Prep. I could tell immediately that this was a unique approach worth the investment. Since we implemented Exam Prep with new recruits our pass rate shot up to well over 90%.

If you or your employees want to pass your exam the first time without falling asleep while studying, I highly recommend you give their training program a try!

Kary Youman, Phillips & Co. Portland, Oregon

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO