Series 63: 1.3.1.3 Net Capital Requirements

Taken from our Series 63 Online Guide

1.3.1.3 Net Capital Requirements

Unlike the investment adviser they work for, investment adviser representatives do not have to prove that they can meet certain capital requirements to register. In other words, even if he has a negative net worth (owe more than he’s worth), an investment adviser representative can still maintain his registration.

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