Series 65: Other Provisions

Taken from our Series 65 Online Guide

Other Provisions

The Uniform Securities Act outlines a number of other administrative rules regarding the role of the Administrator’s office. The biggest of these is the rules surrounding a “final order,” when the Administrator decides what final action to take on an initial order that was previously issued. Essentially, this is the finished product after an investigation and, possibly, a hearing have been completed. In the f

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I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!

Chris McConnell, Adondo Corporation, Wayne, PA

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David Hartzell, Cornell Capital Management, New York

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Roger Vertes, Boston, MA