Series 63, 65, & 66 Lesson: Notice Filing vs State Registration

If you're studying for the Series 63, 65, or 66 exam, notice filing is a topic you need to understand. In this video, Solomon Exam Prep President Jeremy Solomon explains what you should know about notice filing for the Series 63, Series 65, and Series 66 exams.

Notice filing is a topic that often confuses people studying for the NASAA Series 63 Uniform Securities Agent State Law exam, the Series 65 Uniform Investment Adviser Law exam, or the Series 66 Uniform Combined State Law exam. Many assume that notice filing is the same as state registration. It’s not, and securities licensing exams do not treat it as such, despite the similarities between state registration and notice filing. So, what is notice filing, and how does it work?

Do you have any questions, tips, or ideas about notice filing? Let us know in the comments section below! 
 
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Solomon Exam Prep creates innovative resources for securities exam preparation. Solomon has helped thousands of finance and securities professionals pass their FINRA, NASAA, MSRB and NFA licensing exams including the SIE and the Series 3, 6, 7, 14, 22, 24, 26, 27, 28, 50, 51, 52, 53, 54, 63, 65, 66, 79, 82 and 99.  

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