Securities Exam Preparation Inc
SEP is a consulting organization specializing in self-study test preparation for FINRA, NASAA, and NFA exams.
  • Home
  • Questions | Answers
  • Contact Us

  • Pages

    • Contact Us
    • Questions | Answers

  • Links

    • Securities Exam Preparation, Inc.

If I work in a state that doesn’t register RIAs, can the company I want to join make me take the Series 65 exam?

| Comments Off

Yes. The company can be more restrictive than state or federal rules if it chooses.

Mega World News Facebook Twitter Myspace Friendfeed Technorati del.icio.us Digg Google Yahoo Buzz StumbleUpon Weekend Joy

Do I need the Series 65 exam if I’m just getting referral fees from an investment adviser for clients that I soliciting?»

  • Recently Written

    • Are there prerequisites to the Series 65 exam?
    • How do I become a Certified Financial Planner?
    • How do you set up an Introducing Broker for Commodity Futures?
    • Who updates the Series 65 exam, and how often is that done?
    • If I failed the Series 66 can I immediately sit for the Series 65 exam?
    • What is the Series 11 exam?
    • Do I need a sponsor in order to sit for the 65 exam?
    • Why can’t I just sit for the Series 7 and Series 66 exams instead of the Series 65 exam?
    • How do I become a Chartered Financial Analyst (CFA)?
    • I work in a state that doesn’t license representatives of an investment adviser — will my Series 65 exam “expire”?
© 2012 Securities Exam Preparation Inc