Series 63: 1.3.1.4 Post-Registration Requirements

Taken from our Series 63 Online Guide

1.3.1.4 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 is the continuing education requirement that is imposed by many states.

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