Identify IAR Registration Requirements · Series 65 · Flashcards

QUESTION

If an IAR begins working from a new office in State C, what is the key registration consequence?

QUESTION

Which is a place of business: working from home and meeting clients there regularly, or only traveling occasionally?

QUESTION

An SEC IAR has no office in State A and has

6

retail clients there in

12

months. Must the IAR register in State A?

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