Series 65: Exemptions From Registration

Taken from our Series 65 Online Guide

Exemptions from Registration

For the exam, it is as important to know who doesn’t need to register as who does. When thinking about who is exempt from registration, you need to think about two different types of agents: agents representing broker-dealers and agents representing issuers.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Exemptions From Registration, you might also be interested in:

Series 24 - Joint Tenants in Common (JTIC)

Series 63 - Practical Application

Series 79 - Exercise

Series 63 - 4.4.1.3.2 Trade Confirmations

Series 22 - Currency and Transaction Reporting

Series 65 - 5.1.3.1. Trust and Estate Accounts

Series 66 - 9.4.10. Outside Business Activities

Series 65 - Chapter 3 Practice Question Answers

Series 65 - Settlement options for Insurance Policies

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 had my licenses but I let them lapse after I sold my firm. Now we're starting a new firm and I needed a refresher and studied your book and used the exam simulator. I passed the Series 65 and your materials were a big help. Now I am back for the Series 7 and I want your book, audio book and exam simulator. Thanks for an excellent product.

Jason Luquire Pawleys Island, SC

Very good material and well planned to help you pass the first time (Series 65). The audio tape structure is easy to listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend.

Carlos Acosta, GoldBox Wealth, San Antonio, TX

I thought the study material from Solomon Exam Prep was great. It helped me focus on the sections where I needed to study the most. I passed with an 81% on my first try for the Series 65 exam. I would definitely use Solomon Exam Prep again if I need to get any more licenses.

Michael, Portland, OR

I wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon