Series 65: 9.1.7. Exemptions To Issuer And Security Registration

Taken from our Series 65 Online Guide

9.1.7. 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 exempt

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 9.1.7. Exemptions To Issuer And Security Registration, you might also be interested in:

Series 3 - 1.4.1. Normal and Inverted Markets

Series 66 - The Transfer Agent and Registrar

Series 82 - 1.2.1.2.6. Research Reports of Participating Broker-Dealers on Securities Not Being Offered

Series 24 - Long Positions in Margin Accounts

Series 65 - Valuing Equity Securities

Series 79 - 14.2.3. Interests

Series 63 - 1.1 Investment Advisers

Series 65 - The Beta Coefficient

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Chad Cook, Old West Investment 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! I used the Solomon exam prep Material to take the series 65. I had previously used the Kaplan material and did not find the materials to be that good. The book, audio tape and exam question bank were amazing. It was hard to go to the center wearing a mask during this Coronavirus time period. I don’t think I would’ve passed this Series 65 without Solomon. Thank you

Gail Abrams, The Investment Center, Inc. Watchung, NJ

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR