Series 66: 7.7.4.2 Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 66 Online Guide

7.7.4.2  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.

Since you're reading about Series 66: 7.7.4.2 Exemptions From Registration Under The Investment Advisers Act, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 66
Please Enable Javascript
to view this content!