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 53 - 3.2.4.1. Investor Client Education and Protection

Series 6 - 3.6. Education Savings Plans

Series 27 - Non-Marketable Securities

Series 65 - Chapter 8 Practice Question Answers

Series 65 - 4.5.5.1.2.1 High-Risk DPPs

Series 54 - 1.3.2. Advising on Continuing Disclosure Filings (Not Advice)

Series 65 - 7.1.5 Types of Orders

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to thank you for your help several weeks ago. The practice questions were very helpful. I passed the exam (Series 65) on the first try with a solid score.

Alan Heacock, LPL Financial, Bedford, NH

Passed the 65 with an 80% and the 6 with an 87%. Passed both of them on the first try. I give the credit to Solomon. I've had a lot of my friends try other vendors but they were glad to take my advice and switch to Solomon. This course helps you understand the concepts so you can think out the uniquely crafted questions the actual tests ask. Thanks so much.

Gerald Barnes, Client One, Peoria, AZ

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

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65

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 →