Series 66: 9.4.16 Regulation Of Political Contributions (“Pay To Play” Rule)

Taken from our Series 66 Online Guide

9.4.16 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 official must be so

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