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

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.16.4. Exemption For Certain Returned Contributions, you might also be interested in:

Series 53 - Discretionary Trade Restrictions

Series 7 - 17.5.3.1.1. Purchase and Sales Department

Series 63 - Chapter One

Series 65 - 5.3.1.3. Implications of the CAPM

Series 7 - Chapter 10 Practice Questions

Series 50 - Investment Adviser

Series 26 - Bonus Annuities

Series 6 - 7.2. Portfolio Management

Series 26 - Corporate Accounts

Series 24 - Registration Statement Information Requirements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

I recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, 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

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

Thank you Solomon, 87% on the series 65. I thought I was nervous showing up to the exam, but the material was well above par. thanks again

Matt Callahan