Series 66: 9.4.16.5 Ban On Certain Third-Party Solicitors

Taken from our Series 66 Online Guide

9.4.16.5  Ban On Certain Third-Party Solicitors

The “pay to play” rule also prohibits investment advisers from paying any non-regulated persons to solicit advisory business on their behalf. According to the rule, regulated persons are:

Broker-dealers that are registe

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