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 contribution within four months from the date

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.16.4. Exemption For Certain Returned Contributions, you might also be interested in:

Series 53 - Enforcement Agencies

SIE - 8.1.2. “Know Your Customer” Rule

Series 53 - 2.2. Registration Rules

Series 79 - 14.4. Section 363 Sales

Series 7 - 3.2.3.2.2. Taxable Municipal Bonds

Series 24 - 1.2.2.7. Mandatory Inspection of a New Broker-Dealer

Series 53 - Distribution of Profits

Series 51 - Limitations on Gifts, Gratuities, and Non-cash Compensation (MSRB Rule G-20)

Series 7 - 4.11.1 Original Issue Discount Municipal Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Hi Jeremy & Karen, I just passed my 66 today! I'm so thrilled! I had an interruption of my studies a few weeks back due to some distracting issues, but I got back on track, focused hard on the book, the practice quizzes and exams, and I made it! I'm a true believer in the value of your study materials. I'd recommend your firm's materials to anyone that wants to pass the first time they take these really challenging exams. Now I've got my Series 7 and my Series 66, and I did it with the terrific support of this Exam Prep. Thank you for these great study materials.

Howard Silverberg

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

I could not have passed without your study program Two secrets.... ipad2 and 1400 practice questions. Scored a 78. [Series 66]

Scott Harrison The Standard Woodland Hills, CA

Karen and Team Solomon, thank you so much for all your support. Your Series 7 program was easy to understand. The "Ask the Professor" was invaluable for the Series 66. You are the program of choice for our office.

Kirk, PA