Series 66: 8.1.7. Exemptions To Issuer And Security Registration

Taken from our Series 66 Online Guide

8.1.7. Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act continues to be as much about the exemptions from the rules as the rules themselves. Sometimes even the exemptions have exemptions. In

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.7. Exemptions To Issuer And Security Registration, you might also be interested in:

Series 65 - Withdrawing from a Traditional IRA

Series 63 - Client Contracts

Series 79 - 9.6. Ongoing Reporting and Disclosure Obligations

Series 24 - NASDAQ Participants

Series 24 - 5.8.3. Trade Comparison and Confirmations

Series 54 - 1.5.6. Registered Swap Dealer Exemption

Series 63 - Termination of an Agent’s Registration

SIE - SEC Rule 145: Transactions That Do and Don’t Require Registration

Series 53 - Legibility Requirements

Series 14 - Chapter 9 Practice Questions

Series 66 - 3.1.4. Management Company Rules

Series 63 - Post-Registration Requirements

Series 24 - Ineligible Issuers

Series 14 - 6.3.1. Purchase of Securities by the Issuer During a Third-party Tender Offer (Rule 13e-1)

Series 50 - Statement of Net Assets

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

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

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

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