Series 66: 9.4.16.4 Exemption For Certain Returned Contributions

Taken from our Series 66 Online Guide

9.4.16.4 Exemption for Certain Returned Contributions

Investment advisers may avoid the two-year ban on business in the case of an inadvertent political contribution made by a covered associate who was not entitled to vote in an election. The investment adviser may qualify for the exemption if:

• It discovered the political co

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.16.4 Exemption For Certain Returned Contributions, you might also be interested in:

Series 79 - Arbitrage

SIE - Protective Provisions

Series 7 - 17.5.3.2 Reporting to the National Securities Clearing Corporation

Series 66 - 6.5.1.3 Stop Orders

Series 66 - Chapter 7 Practice Questions

Series 53 - Types of Municipal Bonds

Series 65 - 1.4.3.2 Annual Reports: Form 10-K

Series 53 - Market Making

Series 50 - Market Making

Series 14 - 7.3.2.1. General Securities Representative (SIE and Series 7)

Series 66 - 9.1.1 Disclosure

Series 63 - Exercise

Series 3 - 7.1.2. Registration of Floor Brokers and Floor Traders

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I could not have passed [the Series 66] without your very comprehensive program. Thanks!

Arthur Almassy, Scottsdale, AZ

I passed the Series 79, 7, and 66 thanks to your study guides. I scored an 85, 81 and 82, respectively. The exam simulator was highly useful and great preparation. I glossed over material I knew and really prepped topics related to laws and ethics, which these study guides effectively described and tested. I highly recommend Solomon!

Sean M, New York, NY

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS

I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

Joshua Reeves, San Diego, CA

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA