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Know how many questions to expect in a section. There are about 500,000 buffalo in North America...and I expect to see each one of them at the next family reunion. (Uncle Abe, I'm looking at you.)

Registering Securities

Registering Securities

Remember the variable annuity debateā€”is it a security? Does it need to be registered? Well, that's a subject we'll be platform diving into now. We understand what a security is and isn't, but we need to figure out if it needs to be registered. Most of the time a security will need to be registered, but variable annuities are that uncommon instance where a security is exempt from registration.

What does it take to register a security? You can check out the Uniform Application to Register S...

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