Series 65: 10.11.16 Regulation Of Political Contributions (“Pay To Play” Rule)

Taken from our Series 65 Online Guide

10.11.16 Regulation of Political Contributions (“Pay to Play” Rule)

SEC Rule 206(4)-5, also called the “pay to play” rule, was put into place to prevent investment advisers from winning business via campaign donations to elected officials. The rule prohibits investment advisers from providing compensated advice to a government entity within two years of making a political contribution to elected officials of that issuer. For the two-year ban to take effect, the elected offici

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.16 Regulation Of Political Contributions (“Pay To Play” Rule), you might also be interested in:

Series 65 - Insurance Loans

Series 63 - Outside Business Activities

Series 27 - Types of Subordination Agreements

Series 3 - 7.3.1.2. On-Site Visits

Series 66 - 5.1.1.2. Tax Basis

Series 65 - Types of Trading Accounts

Series 7 - 5.3.2 Collars

Series 53 - Understanding Yield

Series 53 - Recordkeeping Maintenance Responsibilities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Passed Series 65 (80%) on first attempt. THANK YOU, Solomon Exam Prep and all of your VERY helpful and courteous staff! Will be back for next two exams.

James M., Fort Lauderdale, FL

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA

I had my licenses but I let them lapse after I sold my firm. Now we're starting a new firm and I needed a refresher and studied your book and used the exam simulator. I passed the Series 65 and your materials were a big help. Now I am back for the Series 7 and I want your book, audio book and exam simulator. Thanks for an excellent product.

Jason Luquire Pawleys Island, SC

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

I passed the series 65! I used the Solomon exam prep Material to take the series 65. I had previously used the Kaplan material and did not find the materials to be that good. The book, audio tape and exam question bank were amazing. It was hard to go to the center wearing a mask during this Coronavirus time period. I don’t think I would’ve passed this Series 65 without Solomon. Thank you

Gail Abrams, The Investment Center, Inc. Watchung, NJ

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

Series 65: 10.11.16 Regulation Of Political Contributions (“Pay To Play” Rule)

Taken from our Series 65 Online Guide

10.11.16 Regulation of Political Contributions (“Pay to Play” Rule)

Since you're reading about Series 65: 10.11.16 Regulation Of Political Contributions (“Pay To Play” Rule), 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 →