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

+ Read More

More SIE Info

What are people saying?

Create an Account

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

Series 66 - The Current Ratio

Series 79 - Use of a Free Writing Prospectus

Series 6 - 5.5.1.2. LGIP Operations and Fees

Series 24 - 1.2.7. Sanctions Against Broker-Dealers

Series 7 - 3.6.32 Rule G-32—Disclosures in Connection with New Issues

Series 79 - Series 79 Online Guide

Series 82 - Regulation S-P

Series 79 - Disclosure in Public Appearances

Series 63 - Practical Application

Series 65 - 3.1.4.4. Purchasing and Redeeming Mutual Fund Shares

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

This program and study prep is amazing. I took and passed my SIE on the first attempt. If you follow the study guide you should be fine. I got to tell you I have never passed a test on the first go. Thanks, Jeremy! I appreciate all your tips and help you posted on the feed. It was all very beneficial to my success.

Tyrone Foster, Hall Labs. Provo, UT

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC