Series 66
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Introduction
1. Investment vehicle characteristics
2. Recommendations & strategies
3. Economic factors & business information
4. Laws & regulations
4.1 Securities laws
4.2 Definitions
4.3 Registration
4.3.1 Broker-dealers
4.3.2 Agents
4.3.3 Investment advisers
4.3.4 Investment adviser representatives
4.3.5 Securities
4.3.5.1 Federal registration
4.3.5.2 Federal exemptions
4.3.5.3 Registration by filing
4.3.5.4 Registration by coordination
4.3.5.5 Registration by qualification
4.3.5.6 State exemptions
4.3.5.7 Exempt transactions
4.4 Enforcement
4.5 Communications
4.6 Ethics
Wrapping up
4.3.5 Securities
