SIE: Look-Back Provision

Taken from our SIE Online Guide

Look-Back Provision

The pay to play rule contains a look-back provision that requires dealers and advisors to look back when determining whether an associated person has triggered the ban on securities business.

A contribution will trigger the ban if it was made within two years prior to the date the individual became an MFP.

Sample Question

While working at a Starbucks, Jenny contributes

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Look-Back Provision, you might also be interested in:

Series 53 - Units of Delivery

Series 24 - Spinning

Series 6 - 4.4. Options

Series 79 - Profit Margins

Series 7 - 3.6.15 Rule G-15—More Uniform Practices for Confirmation, Clearance, and Settlement

Series 54 - 3.1.6.3. Municipal Advisors and Associated Persons Must be Qualified

Series 65 - Chapter Six Practice Questions

Series 24 - Use of Manipulative, Deceptive, or Other Fraudulent Devices

Series 53 - Functions of a Municipal Bond Trader

Series 63 - Commissions

Series 24 - SEC Rule 605 – Disclosure of Order Execution Information

Series 24 - Withdrawal of Registration

Series 66 - Discounted Cash Flow (DCF) Method

Series 53 - Qualifying Examinations by Employment Category

Series 52 - 1.5.1. Anticipation Notes

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

Super fast response time to emailed questions, clear explanations in the textbook and in the ungraded practice exams, and unlimited practice tests made Solomon a great resource for preparing for my SIE. Passed on first try!

Claire Pywell, R+R Financial Partners. Anchorage, AK

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

Solomon Exam Prep prepared me well with a large variety of questions on the practice exams. I was able to pass my SIE on my first attempt, onto the Series 7!

Andrew Johnson, First State Investment Services. Worthington, MN

Excellent! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

Alex Syku. Easton, CT

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA