Series 66: 9.4.16.4 Exemption For Certain Returned Contributions

Taken from our Series 66 Online Guide

9.4.16.4 Exemption for Certain Returned Contributions

Investment advisers may avoid the two-year ban on business in the case of an inadvertent political contribution made by a covered associate who was not entitled to vote in an election. The investment adviser may qualify for the exemption if:

• It discovered the political co

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