[Series 66] 41, Registration Coordination and Qualification

Podcast: Open Exam Prep · Ran Chen, EA, CFP®

Opublikowano: 2026-11-03

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 registration by coordination coordinates state filings with SEC registration under the Securities Act of 1933. * The required conditions for coordination to become effective simultaneously with federal registration. * When registration by qualification is required for intrastate and non-SEC registered offerings. * Why qualification requires an explicit order of effectiveness from the state Administrator. * Key e...