Series 65: 9.1.4. Post-Registration Requirements

Taken from our Series 65 Online Guide

9.1.4. Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot by itself make choices intended to harm investors.

Typically, an i

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I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

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