Series 65: Exemption For Certain Returned Contributions

Taken from our Series 65 Online Guide

Exemption for Certain Returned Contributions

Investment advisers may cure the consequences of an inadvertent political contribution by a covered associate who was not entitled to vote in an election. The investment adviser may qualify for the exemption if:

• The investment adviser discovered the political contribution within four months from the date o

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Exemption For Certain Returned Contributions, you might also be interested in:

Series 65 - 9.1.2.3. Types of State Registration

Series 3 - 7.2.2.1. Institutional Customer Exemption

Series 3 - 1.3.5.2. Speculation

Series 3 - 1.3. Mechanics of the Futures Market

Series 3 - Exercise

Series 24 - Coverdell Education Savings Account

Series 66 - Capital Asset Pricing Model

Series 54 - 1.5.3. Independent Registered Municipal Advisor (IRMA) Exemption

Series 51 - Required Contacts

Series 50 - Bond Refundings

Series 65 - 1.5.1.2.6 Currency Risk

Series 7 - 18.1. Federal Securities Legislation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you Solomon, 87% on the series 65. I thought I was nervous showing up to the exam, but the material was well above par. thanks again

Matt Callahan

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.

I wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA

I passed the exam (Series 65) on the first try only using your study prep. Worked great for me!

Michael Carmody Brentwood, TN

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