SIE: 10.2.11.4. Look-Back Provision

Taken from our SIE Online Guide

10.2.11.4. 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.

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SIE: 10.2.11.4. Look-Back Provision

Taken from our SIE Online Guide

10.2.11.4. Look-Back Provision

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