Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot make bad choices by itself that harm invest

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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

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

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