Free Version

Dashboard
Review Topics
Quizzes
Practice Exams
Flashcards
Vocabulary
If I could hold a pencil, I'd mark up those reading passages like it was going out of style. Do it for the buffalo, man. Do it for me.

AHHHH! Exemptions

AHHHH! Exemptions

So let’s complicate things even more. Sounds like the 63’s style doesn’t it?

Let’s talk about investment advisers who meet the investment adviser definition but don’t have to register. These investment advisors are exempt. Maybe you have heard that word once or twice? Maybe you’re a little sick of it. Maybe you want to yack. We understand.

Anyway, exemptions, if you’re an investment adviser you can get one if you have no place of business in a state (remember the Canadian BDs?) and...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

$63.63
Next: Federal Covered Advisors
Prev: I Am Not an Investment Adviser…For Sure

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.