Series 63: Registration Exceptions

Taken from our Series 63 Online Guide

Registration Exceptions

The registration exceptions for investment adviser representatives are the same as for investment advisers. Investment adviser representatives do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Individuals who fall into the above categories woul

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Registration Exceptions, you might also be interested in:

Series 24 - Requirements and Conditions of FINRA Membership

Series 7 - 2.11.4. Accrued Interest

Series 65 - Warrants

Series 6 - Chapter 4 Practice Questions

Series 66 - 2.4.15.4 TIPS (Treasury Inflation-Protected Securities)

Series 65 - Exemptions to the Securities Act of 1933

Series 82 - Chapter One

Series 26 - Legal Reporting Requirements

Series 7 - 8.2.12 Suitability of Annuities

Series 6 - 4.2.9. Unsecured Bonds

Series 7 - 6.1.4.2. Board of Directors

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA

Solomon Exam Prep offers everything you need to succeed in passing the 6 & 63 exams. The textbooks were easy to follow and study by. The online practice exams really were instrumental and my success. Thank you.

Fran Piegari, AllState, Dallas, TX

Excellent study materials for the Series 63 exam. The practice exams were extremely helpful in my preparation and the exam simulator was a lifesaver as usual in solidifying what I learned (tip: read the answer explanations even if you got the question right). Highly recommend Solomon for the Series 63 exam.

Andrew L.

I used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY

I just took the Series 63 last week, for the first time. I passed with a grade of 87%. The only study guide I used was your audio book which I listened to on the way to work everyday. I have never worked in the securities industry before, and I had no existing knowledge of anything related to securities law. Everything I know about the subject I learned from your audio book. I will always look to your exam preps for my future test prep needs.

David Laurie, Houston, TX

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA