This entry was posted in Investment Advisor, Legal Resources and tagged Investment Advisor, series 65, Series 66 on Octoby Hedge Fund Lawyer. If you have any questions, please contact us. Overview of Hedge Fund Investment Advisors.Test covers: much of the material included on the Series 65, but it does not include the product, analysis and strategy questions that are a large part of the Series 65.Test covers: economics and analysis investment vehicles investment recommendations and strategies and legal and regulatory guidelines, including prohibition on unethical business practices.I have detailed below the different requirements for the Series 65 versus the Series 66 This would generally be a good idea because the Series 66 exam is easier than the Series 65 exam and managers should be able to pass the Series 66 with less effort than the Series 65.
However, if a manager has a Series 7 exam license, he will only need to take the Series 66 exam instead of the Series 65.
#Stc exam prepo registration#
Generally this means that the hedge fund manager will need to have passed the Series 65 exam within two years of registration (or the license must not have been inactive for two years prior to the registration).
Hedge fund managers who must register as investment advisor representatives with the SEC (through notice filings) or the state securities commission will need to have the proper FINRA exam licenses.
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