Series 66: 7.8.3.1 Registration Exceptions

Taken from our Series 66 Online Guide

7.8.3.1 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 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 7.8.3.1 Registration Exceptions, you might also be interested in:

Series 79 - 12.4. After the Buyer is Selected

Series 7 - 5.5 Non-Equity Options

Series 50 - Risk Associated with Products

Series 3 - Chapter 7 Practice Question Answers

Series 50 - Conduit Issuers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Pass the 66 book/audio series, as well as the timely responses I received from the professor, all led to my success in passing the Series 66. This is a test that must be taken seriously, and does just that.

Jason Abbamonte, Charles Schwab, Naples, FL

I passed my 66 with an 83%. The main method of studying was the mp3 that I downloaded and listened to on my commute to and from work. The audio book was the reason I did well. Thanks!

Eric Dicken, BB&T Investments, Winterville, NC

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

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

Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM