Series 63: 1.1.2.1.2 Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 63 Online Guide

1.1.2.1.2  Exemptions from Registration under the Investment Advisers Act

The 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 advisors that are exempt from registration requirements. These exe

Since you're reading about Series 63: 1.1.2.1.2 Exemptions From Registration Under The Investment Advisers Act, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 63
Please Enable Javascript
to view this content!