Series 65: 10.11.16 Regulation Of Political Contributions (“Pay To Play” Rule)

Taken from our Series 65 Online Guide

10.11.16 Regulation of Political Contributions (“Pay to Play” Rule)

SEC Rule 206(4)-5, also called the “pay to play” rule, was put into place to prevent investment advisers from winning business via campaign donations to elected officials. The rule prohibits investment advisers from providing compensated advice to a government entity within two years of making a political contribution to elected officials of that issuer. For the two-year ban to take effect, the elected offici

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.16 Regulation Of Political Contributions (“Pay To Play” Rule), you might also be interested in:

Series 53 - Pricing by Negotiated Sale

Series 7 - 17.2.2.1 OTC Bulletin Board

Series 65 - 9.1.2. Registration of Securities

Series 66 - Exceptions for Canadian Broker-Dealers

Series 50 - Net Debt to Estimated Real Valuation

Series 79 - Business Cycles

Series 7 - 8.2.4 Bonus Annuities

Series 52 - 3.3.2. Applying for DTC Eligibility

Series 66 - Transfer Rights

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

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

Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion. Thank you for the materials.

Alesia Mullis, Churchill Financial, Louisville, KY

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD