Series 65: 8.10.4.1 Exemptions From Registration

Taken from our Series 65 Online Guide

8.10.4.1 Exemptions from Registration

For the exam, it is as important to know who doesn’t need to register as it is to know who does. When thinking about who is exempt from registration, you need to think about two different types of agents: agents representing broker-dealers and agents representing issuers.

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