Series 65: Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 65 Online Guide

Exemptions from Registration Under the Investment Advisers Act

The Investment 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 advisers that are exempted from registration requirements. These exemptions are voluntary, and if a firm decides to take advantage of one of these, it may still b

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