1
Q
IAR exclusions state
A
clerical/admin
impersonal investment advise
research analysts if no advisory
2
Q
IAR exemptions
A
no place of business
AND fewer than 6
snowbird
FED(covered) IAR(only register in state where IAR they have office)
3
Q
IAR registation process
A
u4
disclose if arrested, convicted, for any securities misdemeanor or felony(no time limit)
OFFICER DIRECTOR PARTNER AUTO registered
registration effective 30 days
4
Q
Termination procedures
A
state IAR- IA notifies admin
FEd IAR -IAR notifies admin
administrator has jurisdiction for 1 year after termination
5
Q
financial requirements and recordkeeping for IAR
A
no
Series 66 take 2
flashcards
Decks in class (28)
# Cards
-
videos series 726
-
Videos section 634
-
Unit 126
-
Video unit 2021
-
unit 197
-
unit 1312
-
unit 1424
-
unit 1821
-
unit 24/541
-
final83
-
Series 66 take 232
-
Series 66 client investment recommendations117
-
Unit 25
-
unit 37
-
unit 1014
-
unit 1523
-
unit 1710
-
unit 2319
-
unit 1214
-
unit 2229
-
unit 2141
-
unit 42
-
Unit 516
-
unit 111
-
unit 169
-
Unit 47
-
unit 102
-
BL test march6
