Series 66: Registration By Filing

Taken from our Series 66 - NASAA Uniform Combined State Law Exam

Definition of the term Registration By Filing...

also known as Registration by Notification, this is a registration option for issuers that have registered a security federally. It allows issuers who meet certain conditions to register on the state level by providing the state with certain basic information and documentation.

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I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

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