SIE: 10.2.11.4. Look-Back Provision

Taken from our SIE Online Guide

10.2.11.4. Look-Back Provision

The pay to play rule contains a look-back provision that requires dealers and advisors to look back when determining whether an associated person has triggered the ban on securities business.

A contribution will trigger the ban if it was made within two years prior to the date the individual became an MFP.

Sample Question

While working at a Starbucks, Jenny c

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 10.2.11.4. Look-Back Provision, you might also be interested in:

Series 26 - Exercise

Series 24 - Dealers

Series 24 - Minimum Requirements

Series 7 - 2.2. The Bond Indenture

Series 14 - 1.5.2. FINRA

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the SIE with Solomon Exam Prep and I have to say; the layout of the topics, the practice questions and the explanations of each subject matter is wonderful. They make it clear to follow and understand what the concepts are. Going back to re-try my Series 7 with them instead of my other book.

Ufy Sada, Morgan Stanley, Columbus, OH

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

Solomon Exam Prep prepared me well with a large variety of questions on the practice exams. I was able to pass my SIE on my first attempt, onto the Series 7!

Andrew Johnson, First State Investment Services. Worthington, MN

Just Passed the SIE! I started with the Kaplan study guide -read 3 chapters and fell asleep. I searched online for exam simulators like the ones I used for my IT certifications and came across the Solomon Exam Simulator. I started taking the chapter test over and over, some as much as 15 times. I spent a month of total study time and took the practice 85 question SIE exam 4 times with an average 58% score. I also took the FINRA practice exam 2 times. The results charts gave great insight on well I was master each subject. I used them day. I will tell you that the Solomon practice questions were a lot harder then the real exam. I think that made the difference. I took me just under an hour to complete the test. On the the Series 57- too bad Solomon does not have an exam simulator for that one.

Phil A. Frisco, TX

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI