Series 65: 8.9.2 Net Capital Requirements Of Broker-Dealers

Taken from our Series 65 Online Guide

8.9.2 Net Capital Requirements of Broker-Dealers

As they do with investment advisers, states require broker-dealers to meet net capital requirements both prior to registration and at all times while their registration remains active. Unlike the simpler investment adviser’s requirements, however, the broker-dealer capital requirements use complex formulas that go beyond the scope of the Series 65 exam. It’s sufficient to say that you need to know that broke

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.9.2 Net Capital Requirements Of Broker-Dealers, you might also be interested in:

Series 27 - U.S Treasuries and Agency Securities

Series 79 - Participating Broker-Dealers, Different Securities (Rule 138)

Series 3 - 3.4.4.2. Intramarket or Inter-Delivery Spread Margins

Series 54 - 1.2.2. Municipal Entities and Obligated Persons

Series 79 - Regulation M

Series 50 - Defined Benefit Plans

Series 99 - 3.1.8 Churning

Series 6 - 5.1.3.2. Mutual Fund Shares (A, B, and C shares)

Series 54 - 3.1.1.1. Updating Form MA

Series 53 - Exercise

Series 65 - Form 10-Q

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

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

Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion. Thank you for the materials.

Alesia Mullis, Churchill Financial, Louisville, KY