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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I took and passed my Series 63 this past weekend. I found the Solomon materials instrumental in getting to a pass on the first time. While the manual was good, what really assisted me were the practice exams that were nearly identical to what the actual test questions were. The materials were easy to use and comprehensive. A worthwhile investment.

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Passed the 63 with an 85%. The exam simulator was unbelievably helpful, but still make sure you understand the fundamental concepts and the questions are not always phrased the same way or in the same structure. It was significantly easier as there was some overlap with 79 materials, which I had also previously passed using Solomon materials.

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Jim Murphy, Belden Hill Partners, New York, NY

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