Free Version

Review Topics
Practice Exams
I'm a great swimmer. Just ask my mom. So buoyant, I don't even need water wings.

Oh, God, No! More Exemptions…

Oh, God, No! More Exemptions…

So as an agent, you don’t have to register in a state where you don’t have an office or where you don’t interact with individual investors. You don’t have to register if you do business with a client who is a resident of your state but travels to another state and discusses your securities offer there, as long as the client doesn’t stay beyond 30 days. You don’t have to register if you do interact with institutional investors in a state such as issuers of securities involved in the transactio...

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

Next: Limited Registration of Canadian Broker-Dealers
Prev: Honey, You Must Register

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