Series 65: 9.1.4.1. Prospectus Delivery Requirements

Taken from our Series 65 Online Guide

9.1.4.1. Prospectus Delivery Requirements

To protect investors from potentially shady new issues, the SEC requires that a prospectus be delivered to each investor who purchases a newly issued security. When required, the prospectus must be delivered to the purchaser by the time a transaction settles, which is generally two business days after the actual sale takes place.

A prospectus contains a large amount of the fac

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I passed my series 65 exam on the first attempt! The books and sample questions are always very helpful. I leveraged this course with another program that was offered to me. I did mainly use this one and found the material very helpful. Overall, I would say the test questions that were in the book and online were much more difficult than the exam itself. I do like the crash course piece, but would also love the option of a instructional video which is what the other course offered. I learn not just by readying, but visually as well. The combination of the two were very helpful, but overall I felt the material, especially the sample test questions, were more comprehensive. Thank you for the material.

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