Series 65: Registration Exceptions

Taken from our Series 65 Online Guide

Registration Exceptions

The registration exceptions for investment adviser representatives are the same as for investment advisers. Investment adviser representatives do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Individuals who fall into the above categories would not need to register as investment adviser representatives within a state.

• Note: An investment adviser is responsible for supervising individuals who work for

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