[Series 66] 44, Registration Renewals Amendments and Records
From Open Exam Prep · 04:13
Show by Ran Chen, EA, CFP®
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: • How state registration renewals on December 31st differ from federal annual ADV updating amendments. • When material amendments to Form ADV and Form U4 must be filed promptly with regulatory authorities. • Retention timelines for investment adviser books and records under NASAA model rules and federal regulations. • How the de minimis exemption applies to investment adviser representatives serving out-of-state clients. • A decision framework for remembering amendment deadlines, annual renewals, and record retention periods. OpenExamPrep provides independent study resources for professional qualification tests. Prepare for your exam at https://open-exam-prep.com/practice/series66 and explore visual tutorials on https://www.youtube.com/@Open-exam-prep . Sources checked: September 14, 2026 https://www.nasaa.org/wp-content/uploads/2023/02/Series-66-Outline-June-2023.pdf https://www.nasaa.org/exams/general-exam-information/series-66-exam-content-outline/
More episodes of Open Exam Prep
More episodes
- [Series 66] 47, Advisory Contracts Fees and Assignment
- [Series 66] 46, Discretionary Authority and Trading Permissions
- [Series 66] 45, Custody and Safeguarding Client Assets
- [Series 66] 43, Civil Liability and Criminal Penalties
- [Series 66] 42, Administrator Powers and Investigations
- [Series 66] 41, Registration Coordination and Qualification
- [Series 66] 40, Federal Covered Securities and State Authority
- [Series 66] 39, Exempt Securities vs Exempt Transactions
- [Series 66] 38, Agent Registration and Exclusions
- [Series 66] 37, Broker-Dealer Definitions and Registration
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