SIE: 10.2.11.5. No Bundling

Taken from our SIE Online Guide

10.2.11.5. No Bundling

Broker-dealers and MFPs may not coordinate any contributions to an official who can direct municipal securities business to the firm—a practice often called “bundling.” Additionally, none of these same entities or people shall solicit any person or PAC to make a contribution or payment to an official who can direct securities business to the firm. There is no de minimis exception for bundling.

Sample Question 1

You are working as a registered representative and you live in an area that allows you to vote for an official who can di

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 10.2.11.5. No Bundling, you might also be interested in:

Series 66 - Transfer of Preferred Stock

Series 7 - 9.1.1 Economic Indicators

Series 65 - Capital Growth

Series 3 - 6.3.3.3. One-Cancels-the-Other (OCO)

Series 51 - Chapter 5 Practice Question Answers

Series 66 - 5.3.2. Alternative Plans for Educational Savings

Series 65 - 2.6. Debt Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

I finally passed my SIE this month. Thank you to this AMAZING, pass or money back Solomon's test materials. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

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

I only used the exam simulator and it was the best decision I made! I read a different textbook and used Solomon solely for test prep questions. I promise you the $70 or so this cost is 100% worth it. Every question that I got on my exam (May 2020) was related to all the questions asked in the Solomon exam simulator. If you are willing to put in the work and take all of the chapter quizzes and then take 5 each of the time/not timed exams you will pass. Another good thing is that you can download their app and take exams on your phone - I found this very useful when I didn't want to always be on my laptop all day.

Nick Sciortino, Barrington, NJ

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA