Series 65: 9.1.2.3. Types Of State Registration

Taken from our Series 65 Online Guide

9.1.2.3. Types of State Registration

The actual registration process varies slightly depending on the nature of the security being registered, previous registrations in other jurisdictions, etc. The three registration methods are:

• Registration by qualification

• Registration by coordination

• Registration by filing

Federal covered securities ma

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 9.1.2.3. Types Of State Registration, you might also be interested in:

Series 28 - Improper Assignments and Powers of Substitution

Series 51 - Exercise

Series 6 - Exercise

Series 24 - 5.6.2. Registration Requirements

Series 53 - Ex Legal Deliveries

Series 66 - Inflation Risk

Series 22 - 2.4.2. Stock and Debt Basis: S Corporations

Series 24 - Customer Accounts

Series 24 - 4.1.5.4.2. Cooling-Off Period

Series 6 - 6.3.3.7. Waiver of Premium

Series 14 - 5.2.4.2. Continuing Disclosure Agreement

Series 65 - Exercise

Series 79 - Chapter 3 Practice Question Answers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion. Thank you for the materials.

Alesia Mullis, Churchill Financial, Louisville, KY

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA