Series 65: Prospectus Delivery Requirements

Taken from our Series 65 Online Guide

Prospectus Delivery Requirements

To further protect investors from shady new issues, the law requires a prospectus (detailed description of the issue) to be delivered to each investor who purchases a security that has been newly issued by the completion of the transaction, which means the time that the security settles.

A prospectus contains a large amount of the factual data about a security offerin

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Prospectus Delivery Requirements, you might also be interested in:

Series 27 - Completion of Customer Sell Orders

Series 3 - 6.2.3.2. Continuation Patterns

Series 50 - Bond Points and Basis Points

Series 65 - Issuer and Non-Issuer Transactions and Section 402(b) Exemptions

Series 7 - 11.1.3 Electronic Communications and Social Media

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

Jeff Dampf

Great study materials. The program provided the information needed to successfully pass the Series 65. Thanks Solomon!

Bryan Acuto, Trust Advisory Group, Woburn, MA

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

I passed the test [the Series 65] with flying colors. Your study material, particularly the book and the online exams were the difference maker. Other individuals in my firm used exam prep courses from other companies and unfortunately did not pass the exam. I am confident in saying that these materials were the difference maker. Thank you for creating such a great product. Everyone in my firm will use your simulators going forward.

Chris T. Chambers, Senior Partner, My Harvest Field, Inc., Clearwater, FL

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