Series 65: Ban On Certain Third-Party Solicitors

Taken from our Series 65 Online Guide

Ban on Certain Third-Party Solicitors

The pay to play rule also prohibits investment advisers from paying any non-regulated persons for soliciting advisory business on their behalf. According to the rule, regulated persons are:

  • • Broker-dealers that are registered with the SEC and

Since you're reading about Series 65: Ban On Certain Third-Party Solicitors, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!