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

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SIE: 10.2.11.7. Automatic Exemptions

Taken from our SIE Online Guide

10.2.11.7. Automatic Exemptions

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

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