Series 65: 8.7.4.2 Exemptions From Registration Under The Investment Advisers Act

Taken from our Series 65 Online Guide

8.7.4.2 Exemptions from Registration Under the Investment Advisers Act

The Investment Advisers Act provides several exemptions from federal registration. Note that the section above discussed exceptions to the definition of investment adviser. Those firms did not need to register because they didn’t meet the definition of investment adviser. This section focuses on investment advisers that are exempted from registration requirements.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.7.4.2 Exemptions From Registration Under The Investment Advisers Act, you might also be interested in:

Series 24 - Prohibition Against Trading Ahead of Customer Orders

Series 24 - 2.1.6.2. Chief Executive Officer and Compliance Certification

Series 24 - Rule 15g-8 – Escrow

Series 53 - Branch Office Chain of Command

Series 79 - 10.4.4. Identifying, Screening, and Negotiating with Investors

Series 66 - C Corporations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

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

I used Solomon to prep for my Series 65 exam. I was extremely impressed with how prepared I was for the actual exam! After reviewing the chapter material and taking 7-10 quizzes for each chapter, I was scoring around a 75 average on the practice exams, I wasn't sure that would be enough to pass. However, on exam day I felt extremely confident with the material, and I passed the 65 on my first attempt with about 45 minutes to spare. Extremely satisfied with how Solomon teaches the material to truly make it stick, and also with the progress statistics that they show you, so you know what to work on. I would 100% recommend it to anyone trying to pass their Series exams!

Landry Mead, Goldman Sachs Ayco Personal Financial Management. Dallas, TX

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

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