Series 66: Registration By Qualification

Taken from our Series 66 - NASAA Uniform Combined State Law Exam

Definition of the term Registration By Qualification...

when an issuer registers a security, starting from scratch in proving that their security meets the basic regulatory requirements to protect the public. This means that they need to provide a registration statement to their state securities administrator containing a boatload of information.

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The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

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