Series 65: 8.8.3.1 Registration Exceptions

Taken from our Series 65 Online Guide

8.8.3.1 Registration Exceptions

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

Note: An investment adviser is responsible for supervisi

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.8.3.1 Registration Exceptions, you might also be interested in:

Series 24 - 2.7.6. Quarterly Security Counts Rule

SIE - Exercise

Series 63 - 5.4 Regulation Best Interest

Series 50 - Pricing Consultant

Series 79 - Chapter Nine

Series 63 - 3.3.3 Other Penalties and Liabilities

Series 51 - Investment Objectives

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

Very good material and well planned to help you pass the first time (Series 65). The audio tape structure is easy to listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend.

Carlos Acosta, GoldBox Wealth, San Antonio, TX