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The provisions list exceptions from examination, exam waivers based on recognized professional designations, and rules for entity applicants regarding who may take exams and replacement of authority persons.",{"@graph":69,"@context":123},[70,84,106],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/wac-460-24a-050-registration-and-examination-requirements/390103/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/wac-460-24a-050-registration-and-examination-requirements/390103.png","ImageObject",300,407,{"name":92,"@type":93},"kopisore","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-06","2026-09-25",true,{"@type":102,"interactionType":103,"userInteractionCount":105},"InteractionCounter",{"@type":104},"ViewAction",13,{"@type":107,"mainEntity":108},"FAQPage",[109,115,119],{"name":110,"@type":111,"acceptedAnswer":112},"What exams must applicants pass for initial registration as an investment adviser or representative?","Question",{"text":113,"@type":114},"Applicants must provide proof of a passing score within the two-year period immediately preceding the application. Required exams include the Uniform Investment Adviser Law Examination (Series 65), and depending on the application date, may include Series 7 and Series 66 or the SIE exam along with Series 7 and Series 66.","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"When are applicants exempt from examination requirements?",{"text":118,"@type":114},"Exemptions apply when the applicant was registered in the U.S. on January 1, 2000 and remained continuously registered with no period longer than two years unregistered. Other exceptions include prior registration in states requiring qualification within the prior two years, and passing certain exams within the specified timeframes.",{"name":120,"@type":111,"acceptedAnswer":121},"Can exams be waived based on professional designations?",{"text":122,"@type":114},"Yes. The rule waives required examinations when the applicant currently holds specified professional designations (such as CFP, ChFC, PFS, CFA, or CIC) and is in good standing with the certifying organization, subject to director recognition of other designations by order.","https://schema.org",{"og:url":83,"og:type":125,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":127,"canonical":83},"index,follow",{"doc_id":129,"site_id":62},390103,1790624531,{"code":4,"msg":5,"data":132},{"doc_id":129,"user_id":133,"nickname":92,"user_avatar":134,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":105,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":81,"language":140,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":67,"update_tm":144,"read_time":39,"preview_page_count":4},962090880963,"https://ap-avatar.wpscdn.com/davatar_6f874abed73319feea01a86fa6f0fab8","WAC 460-24A-050 Registration and examination requirements . (1)  \nExamination requirements . If you are applying to be registered as an investment adviser or investment adviser representative under RCW 21 .20 .040, you must provide the director with proof that you have obtained a passing score within the two-year period immediately preceding the date of your application on the following examinations:  \n(a) The Uniform Investment Adviser Law Examination (Series 65 examination);  \n(b) If you apply prior to October 1, 2018, the General Securities Representative Examination (Series 7 examination) and the Uniform Combined State Law Examination (Series 66 examination); or  \n(c) If you apply on or after October 1, 2018, the Securities Industry Essentials Examination (SIE examination), the General Securities Representative Examination (Series 7 examination), and the Uniform Combined State Law Examination (Series 66 examination) .  \n(2) Exceptions from examination requirements .  \n(a) If you were registered as an investment adviser or investment adviser representative in any jurisdiction in the United States on January 1, 2000, and there has been no period longer than two years since that date in which you were not registered as an investment adviser or investment adviser representative, the director will not require you to satisfy the examination requirements for initial or continued registration, provided that the director may require additional examinations if you are found to have violated the Securities Act of Washington, chapter 21.20 RCW, or the Uniform Securities Act .  \n(b) If you were registered as an investment adviser or investment adviser representative in any state requiring the licensing, registration, or qualification of investment advisers or investment adviser representatives within the two-year period immediately preceding the date of filing of an application, the director will not require you to comply with the examination requirement set forth in subsection (1) of this section provided that you previously met the examination requirement in subsection (1) of this section .  \n(c) If you passed the Uniform Investment Adviser State Law Examination (Series 65 examination) within two years prior to the date you filed your application with the director, the director will not require you to take and pass the Uniform Investment Adviser State Law Examination (Series 65 examination) again .  \n(d) If you are an applicant who is an agent for a broker-dealer/ investment adviser and your home jurisdiction does not require you to make a separate filing on CRD as an investment adviser representative, and you previously met the examination requirement in subsection (1) of this section, the director will not require you to take and pass the Uniform Investment Adviser State Law Examination (Series 65 examination) or the Uniform Combined State Law Examination (Series 66 examination) again .  \n(e) If you passed the General Securities Representative Examination (Series 7 examination) prior to October 1, 2018, the director will not require you to take and pass the Securities Industry Essentials Examination (SIE examination) if:  \n(i) You are currently registered as an investment adviser or investment adviser representative in at least one state that requires the registration of investment advisers or investment adviser representatives; or  \n(ii) You were registered in a state that requires the registration of investment advisers or investment adviser representatives within the two-year period immediately preceding the date you filed  \nCertified on 2/20/2023 WAC 460-24A-050 Page 1  \nyour application for registration as an investment adviser or investment adviser representative with the director .  \n(f) If you passed the Securities Industry Essentials Examination (SIE examination) within the four-year period immediately preceding the date you filed your application with the director for registration as an investment adviser or investment ad","cbCaifct45bcrzCo","https://ap.wps.com/l/cbCaifct45bcrzCo","pdf",254445,"English","# Registration and examination requirements\n## Examination requirements\n## Exceptions from examination requirements\n## Examination waivers\n## Entity applicants and who may take exams\n## Registration requirements","[{\"question\":\"What exams must applicants pass for initial registration as an investment adviser or representative?\",\"answer\":\"Applicants must provide proof of a passing score within the two-year period immediately preceding the application. Required exams include the Uniform Investment Adviser Law Examination (Series 65), and depending on the application date, may include Series 7 and Series 66 or the SIE exam along with Series 7 and Series 66.\"},{\"question\":\"When are applicants exempt from examination requirements?\",\"answer\":\"Exemptions apply when the applicant was registered in the U.S. on January 1, 2000 and remained continuously registered with no period longer than two years unregistered. Other exceptions include prior registration in states requiring qualification within the prior two years, and passing certain exams within the specified timeframes.\"},{\"question\":\"Can exams be waived based on professional designations?\",\"answer\":\"Yes. The rule waives required examinations when the applicant currently holds specified professional designations (such as CFP, ChFC, PFS, CFA, or CIC) and is in good standing with the certifying organization, subject to director recognition of other designations by order.\"}]","WAC 460-24A-050 Registration and examination requirements | PDF",1790329929]