Series 65: 1.4.3.1. Prospectus

Taken from our Series 65 Online Guide

1.4.3.1. Prospectus

A prospectus is the initial form that is filed prior to the public offer of a new security (stock or bond). The prospectus provides important disclosure information for the investor. It contains all the material information about the security, which means all the crucial info that potential investors may want or need to know to

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At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

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