Series 66: 8.1.2.2 Incorporation By Reference

Taken from our Series 66 Online Guide

8.1.2.2 Incorporation by Reference

Occasionally, the exam will ask you about a concept called incorporation by reference. This is a general legal concept that is applied under the Uniform Securities Act. Essentially, what it says is that a document about the same security or issuer filed within the previous five years can simply be referenced in a new filing.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.2.2 Incorporation By Reference, you might also be interested in:

Series 63 - 4.5. Fraud

Series 27 - 18-Month Minimum

Series 66 - 1.1. Fundamental Analysis

Series 53 - Underwriters Submit Information to MSRB via EMMA

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

Thank you so much for your great study materials! I have used Kaplan in the past and this is so much better! I used your study materials to get an 84% on my Series 7 and an 85% on my Series 66! Keep up the good work!

Ivan Griffin, Roach, MO

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA