Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

Agents are not subject to as many post-registration requirements as the broker-dealers they represent, but they are expected to help their broker-dealers meet all recordkeeping requirements and comply with all audits, as needed. Agents are responsible for meeting any conditions for ongoing registration set by their state, however, and they must provide any documentation required to prove they have met such conditions.

Since you're reading about Series 65: Post-Registration Requirements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!