Business > STUDY GUIDE > Series 66 Exam Study Guide | with 100% Correct Answers | Updated & Verified | 44 Pages (All)
Series 66 Exam Study Guide | with 100% Correct Answers | Updated & Verified | 44 Pages
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Issuer Securities Exclusions for Registering as an Agent - >>>>U.S. Government Securities Municipal Securities Canadian Government Securities Banks Promissory notes & investment Contracts Do you ... have to be registered as an Agent to sell securities issued by Insurance Co. Secuirities and Federal Savings & Loans Securities - >>>>Yes, however, these securities are listed in the federal list of exemptions Exempt Transactions from registering as an agent - >>>>*Normal everyday secondary market transactions (trading) *Transactions in covered securities Covered Securities which exempt industry professional from registering as an agent in their state - >>>>*Securities sold to qualified purchasers *Securities sold in a private placement Agent - Broker/dealer exceptions - >>>>*a rep servicing a client in one state while the client is temporarily in another state *A partner, officer, or director of a B/D or issuer Investment Advisor definition (3 key points) - >>>>ABC *Provide ADVICE about securities *as a BUSINESS * for COMPENSATION in any form "Excluded" from the definition of an Investment Advisor at the state level - >>>>Part 1 [Show More]
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