Series 65: 8.8.4 Post-Registration Requirements

Taken from our Series 65 Online Guide

8.8.4 Post-Registration Requirements

There are very few post-registration requirements for investment adviser representatives, aside from the IAR not breaking the law and the IAR’s firm renewing his registration in a timely manner. The most likely post-registration requirement would be many states’ requirement to engage in some type of continuing education during each renewal period.

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