Series 65: 10.11.16.4. Exemption For Certain Returned Contributions

Taken from our Series 65 Online Guide

10.11.16.4. 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 dat

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