Series 63: Exemptions From Registration Under The Advisers Act

Taken from our Series 63 Online Guide

Exemptions from Registration under the Advisers Act

The Advisers Act provides several exemptions from federal registration. Note that the section above discussed exceptions to the definition of investment adviser. Those firms did not need to register because they didn’t meet the definition of investment adviser. This section focuses on investment advisors that are exempted from registration requirements. These exemptions are voluntary, and if a firm decides to take advantage of one of them, it may still be subject to stat

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