Series 66: 7.10.4.1. Exemptions From Registration

Taken from our Series 66 Online Guide

7.10.4.1. Exemptions from Registration

For the exam, it is as important to know who doesn’t need to register as it is to know who does. When thinking about who is exempt from registration, you need to think about two different types of agents: agents representing broker-dealers and agents representing issuers.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 7.10.4.1. Exemptions From Registration, you might also be interested in:

Series 65 - Price and Time Orders

Series 24 - Payment for Market Making

Series 79 - Syndicate Compensation

Series 6 - 4.2.1. Bond Ratings

Series 66 - 3.8.1.2.1 Types of Real Estate Limited Partnerships

Series 14 - 5.2.1. Handling Customer Complaints

Series 7 - 6.1.6. Redemption of Mutual Fund Shares

SIE - Exercise

Series 7 - 3.6.1 Rule G-1—Municipals Activities in Banks Must Be Done in a Separately Identifiable Department

SIE - Chapter 10 Practice Questions

Series 63 - 2.3.2 Termination of an Agent’s Registration

SIE - Low-Risk DPPs

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After hearing horror stories about people struggling and in some cases failing the Series 66, after easily passing the series 7, I invested in both the Series 66 audio book and the Series 66 on-line tests. I passed my Series 66 exam with an 87%!

Mardee Formales, Wells Fargo, San Diego, CA

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

Joshua Reeves, San Diego, CA

I passed the Series 66 exam with an 83 this morning! I wanted to personally thank you for all the help you have given me. Your method of presenting the information needed to pass these exams is outstanding (I only had two weeks to study). In the future I wouldn't even consider using another resource to tackle the preparation for a Series exam. Moving forward in my career I will be sure to pass this information on to friends and colleagues without hesitation.

Michael F. Lee, Jr. Hatteras Funds, Raleigh, NC

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV