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You will need to email or register to access some of the materials. The examination, called the series 65 exam, is designed to qualify candidates as investment adviser representatives. Nonexempt new issues can only be sold once the prospectus is effective. Indications of interest, but no orders or money can be accepted during the time the issue is “in registration”.
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You will need to email or register to access some of the materials. The examination, called the series 65 exam, is designed to qualify candidates as investment adviser representatives. Federal covered securities securities listed on the nyse, nasdaq, or regional exchanges (i.e., nms securities) securities issued by an investment company (e.g., mutual funds) securities issued under regulation d rule 506.
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