Saturday, February 7, 2009

Unregistered, non-exempt securities

First, I want to say CONGRATULATIONS to one of our three current followers-of-the-blog. In case he's a humble guy I won't name him, but I hope he'll comment to this post to take credit for GETTING A 91% ON THE SERIES 66 exam. Maybe he has a few tips and/or warnings for those brave souls about to face the opponent at the testing center.

Wow. 91%. Way to go, (name withheld for now).

Second, I want to prove to you that what you're studying under the "Uniform Securities Act" and SRO regulations is directly related to the so-called "real world." I remember the first time I heard an instructor imply that the phrase "soliciting sales of unregistered, non-exempt securities" has "nothing to do with the real world."


Way wrong.

If you click on the link below you will see just how seriously you could mess up your career if you sold unregistered securities. I'll let you experience this one in the native tongue. If you have questions, as always, please post them.

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