Series 65: 9.1.7. Exemptions To Issuer And Security Registration

Taken from our Series 65 Online Guide

9.1.7. 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 exempt

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 9.1.7. Exemptions To Issuer And Security Registration, you might also be interested in:

Series 14 - 5.2.4. Supervision of Compliance with MSRB Rules and Regulations

Series 79 - 8.2. Distribution of Prospectuses

Series 24 - Financial Performance Disclosures

Series 65 - 4.5.8.1. Resales of Restricted and Control Securities—Rule 144

Series 7 - 3.6.3 Rule G-3—MSRB Qualification Rules

Series 22 - Anti-Money Laundering Compliance Program

Series 66 - Chapter 7 Practice Questions

Series 50 - Duty of Loyalty

Series 26 - Function Two

Series 53 - Look-Back Provision

Series 66 - 4.3.1.2. Alpha

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the exam (Series 65) on the first try only using your study prep. Worked great for me!

Michael Carmody Brentwood, TN

I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!

Chris McConnell, Adondo Corporation, Wayne, PA

I want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO

Just wanted to let all of you know that I passed the 65 on 4/19/10. I got a 76%! Not the highest score, but good enough!!! Thank you so much for all your help. Your study materials (book, audio, and exam simulator) were instrumental in my passing this test the first time! I'll be sure to let any future test takers in my office know about your products! Thanks again!

Sandy Widmer, BGR Financial Group LLC, Tucson, AZ

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

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

Series 65: 9.1.7. Exemptions To Issuer And Security Registration

Taken from our Series 65 Online Guide

9.1.7. Exemptions to Issuer and Security Registration

Since you're reading about Series 65: 9.1.7. 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 →