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 66 - Chapter 2 Practice Questions

Series 79 - 9.5.7. Methods of Retention

Series 65 - Unauthorized Principal Transactions

Series 14 - 9.1.2.4. Supplemental Sales Literature

Series 54 - 3.2.4.2. Content Standards for Advertisements

Series 65 - 10.11.10 Outside Business Activities

Series 65 - 7.3.16 Yield

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

I thought the study material from Solomon Exam Prep was great. It helped me focus on the sections where I needed to study the most. I passed with an 81% on my first try for the Series 65 exam. I would definitely use Solomon Exam Prep again if I need to get any more licenses.

Michael, Portland, OR

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

Great study materials. The program provided the information needed to successfully pass the Series 65. Thanks Solomon!

Bryan Acuto, Trust Advisory Group, Woburn, MA

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 →