SIE: 10.2.11.7. Automatic Exemptions

Taken from our SIE Online Guide

10.2.11.7. Automatic Exemptions

Broker-dealers prohibited from engaging in business under this rule may qualify for an automatic exemption from the rule if the following three requirements are met:

1. The dealer or advisor discovered the triggering political contribution within four months of the date of the

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 10.2.11.7. Automatic Exemptions, you might also be interested in:

Series 66 - Repurchase Agreements

Series 63 - Registration of Investment Advisers

Series 3 - 1.3.4.3. Order Execution

Series 66 - Protective Provisions

Series 26 - Correspondence and Internal Communications

Series 79 - Special Situation

Series 66 - 3.8.5. Commodities

Series 24 - 5.9.2.2. Firm Quote Rule

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

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

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

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