SIE: 10.2.11.1. Contributions

Taken from our SIE Online Guide

10.2.11.1. Contributions

The rule applies to contributions made to candidates, elected officials, and their offices. If an individual or office can influence the outcome of the hiring of a broker-dealer or municipal advisor, contributions will trigger the ban. The official must be someone who has the authority to influence whether municipal securities or advisory business is directed toward the broker-dealer or advisor. A contribution to a municipal of

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 10.2.11.1. Contributions, you might also be interested in:

Series 65 - 2.6.7 Bond Points and Basis Points

Series 63 - 5.7.6.3. Common Types of Social Media Fraud

Series 65 - 6.3 Individual Retirement Accounts (IRAs)

Series 66 - 2.4.15.1 Treasury Bills

Series 53 - Form G-37 Quarterly Reports

Series 66 - 9.1.6.1 Common Categories of Investment Advisory Fraud

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

I finally passed my SIE this month. Thank you to this AMAZING, pass or money back Solomon's test materials. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

I got my undergrad degree in musical theater, never having studied or practiced anything regarding securities. I've been working as an actor over the last 10 years, and figured the Covid-19 quarantine presented an opportunity to learn something new. Solomon took me from knowing NOTHING about securities to passing the SIE on the FIRST TRY! I finished in under an hour and felt extremely confident about the entire test. I read every chapter twice, watched all the video tutorials, listened to the audiobook while driving, and took a large amount of practice exams. Do this - and you will be over prepared - I promise. I will absolutely be using Solomon again for any top-off exams!

Corey Cott, Philadelphia, PA

I utilized the Solomon SIE and Series 6 Top-Off study guide package. I passed on the first time by following the exact recommendations. While the test is different than the study exam questions it covers the content in a detailed way preparing you to successfully pass the exam. Great product and customer service!

Michael Gehrich, Allstate Insurance, Ft Myers, FL