Series 66: 8.1.4. Post-Registration Requirements

Taken from our Series 66 Online Guide

8.1.4. Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot by itself make choices intended to harm investors.

Typically, an i

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.4. Post-Registration Requirements, you might also be interested in:

Series 66 - Exercise

Series 53 - 3.2.2. Telemarketing Rules

Series 53 - Early Redemption of Municipal Bonds

Series 24 - Changes in Registration Status

Series 3 - 2.2.1.2. The Hedge Ratio

Series 24 - Introduction

Series 7 - 8.2.6.1. Units and Assumed Interest Rate

Series 28 - Margin Payment

Series 6 - 2.1.3.1. Customer Identification Verification

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my Series 66, 1st try. Your audiobook was the game changer for me. Thank you!

S Stephens, Merrill Lynch. Orlando, FL

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA

Your Pass the 7 and Pass the 66 training manuals were really well written and the generous dose of sarcasm was excellent. I would recommend your materials to anyone who needs to take these exams.

Jacob Clevenstine, Strategic Wealth Management Group, Madison, WI

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

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

I purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA