Series 66: 8.1.2.2. Incorporation By Reference

Taken from our Series 66 Online Guide

8.1.2.2. Incorporation by Reference

Occasionally, the exam will ask you about a concept called incorporation by reference. This is a general legal concept that is applied under the Uniform Securities Act. Essentially, what it says is that a document about the same security or issuer filed within the previous five years can simply be referenced in a new filing.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.2.2. Incorporation By Reference, you might also be interested in:

Series 24 - Individual Retirement Accounts (IRAs)

Series 6 - 6.3.3. Variable Life Insurance

Series 6 - 7.5.1.2. Disclosure to Customers of Conflicts of Interest

Series 7 - 15.6 Cash Settlement and Delivery of Securities

Series 66 - 5.3.1 529 College Savings Plans

Series 24 - 3.11.8. Special Filing Requirements

Series 51 - Chapter 7 Practice Question Answers

Series 53 - Chapter 4 Practice Questions

Series 79 - 10.4. Private Placements: Regulation D

Series 24 - 2.8.6. Quarterly Security Counts

Series 65 - Exercise

Series 65 - 2.3.5.1 Cumulative Preferred Stock

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 the Series 79, 7, and 66 thanks to your study guides. I scored an 85, 81 and 82, respectively. The exam simulator was highly useful and great preparation. I glossed over material I knew and really prepped topics related to laws and ethics, which these study guides effectively described and tested. I highly recommend Solomon!

Sean M, New York, NY

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

Thank You. Thank You. Thank You. Having the audio, video lectures (with the printable power-point!) and exam simulator in addition to the book really engages you in the material. It becomes a game! I passed the 66 with an 84%.

Colleen Shelly, PNC Investments, Cleveland, OH

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

The Series 66 Exam Prep offered by Solomon Exam Prep is exceptional. I used both the textbook and the exam simulator as my only study materials for the exam and passed with an 88. The Solomon material is written in a way which is easy to understand and digest. The exam simulator was excellent in preparing me with quizzes and full length practice tests to focus on my points on weakness and prepare me for the real thing! I would highly recommend both of these products to anyone!

Luke Bowes, Seymour, TN