Series 65: 9.1.2. Registration Of Securities

Taken from our Series 65 Online Guide

9.1.2. Registration of Securities

Just as with investment advisers, agents, and the other professionals discussed so far, securities must be registered with the state securities administrator and their issuers must pay a fee. And as with these other parties, securities are potentially exempt from state regist

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 9.1.2. Registration Of Securities, you might also be interested in:

Series 50 - Municipal Advisor Representative (Series 50)

Series 6 - 6.2.10. Additional Fees

Series 28 - Clearing Firm Extension Requests

Series 63 - Practical Application

Series 66 - 3.8.3 Structured Products

Series 65 - Additional Fees

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, FL

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana

I wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

I am 73 years old and have been retired for 5 years. My fulfilling career of 38 years was mainly as a portfolio manager in a trust setting. A good friend of mine recently started an RIA and asked me to consider coming to work for him. Since I loved my job and retirement is boring in comparison, the decision to jump back in was rather easy. You know the old saying: if you love what you do, you will never work a day in your life. But yes, I must first pass Series 65. The study materials and whole program you have constructed are excellent. I read the phone-book sized reading materials and took many practice exams on the website. Just this morning I sat for the test and passed. Hooray!! I am convinced that your test preparation process made the exam seem easy. So I will recommend to anyone preparing for a securities exam to definitely consider getting your program. Thanks again for your outstanding program and guidance."

Rick Hinchberger Dover Advisors LLC