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 24 - 4.5. Asset-Backed Securities

Series 65 - Consolidated Tape

Series 24 - Listing Termination

Series 79 - Leading Indicators

Series 51 - Regulation of Political Contributions (“Pay to Play” Rule)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

I passed the SIE with the help of the practice exams from this course. The practice exams from this course seemed a bit needlessly difficult compared to the actual exam I took. While it prepared me well, it caused a lot of unnecessary stress. Don’t over do it on the practice exams.

Christian Heer, Merrill lynch . Los angeles, CA

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: 10.2.11.4. Look-Back Provision

Taken from our SIE Online Guide

10.2.11.4. Look-Back Provision

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

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →