Series 66: 9.4.16 Regulation Of Political Contributions (“Pay To Play” Rule)

Taken from our Series 66 Online Guide

9.4.16 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 official must be so

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.16 Regulation Of Political Contributions (“Pay To Play” Rule), you might also be interested in:

Series 79 - Demand and Piggyback Registration

Series 65 - 3.8.6. 1035 Exchanges for Variable Life Insurance Contracts

Series 66 - Agents Representing Issuers

Series 79 - 3.5.2. Enterprise Value and Related Multiples

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my 66 today - thank you Solomon for the assistance and materials. It was incredibly difficult! I wish I had watched the videos even more.

Jessica Koefod

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

The Pass the 66 book/audio series, as well as the timely responses I received from the professor, all led to my success in passing the Series 66. This is a test that must be taken seriously, and does just that.

Jason Abbamonte, Charles Schwab, Naples, FL

The Series 66 Exam Prep offered by Solomon Exam Prep is exceptional. I used both the textbook and the exam simulator as my only study materials for the exam and passed with an 88. The Solomon material is written in a way which is easy to understand and digest. The exam simulator was excellent in preparing me with quizzes and full length practice tests to focus on my points on weakness and prepare me for the real thing! I would highly recommend both of these products to anyone!

Luke Bowes, Seymour, TN

I used Solomon's Online Exam Simulator as a supplement to company provided materials for the Series 7 & 66, passing with scores of 86% & 88%. The online simulator made it easy to study on the go and provided peace of mind of preparedness walking in on test day. Highly recommended.

John Watlington, Merrill Lynch, Raleigh, NC

Your Pass the 7 and Pass the 66 training manuals were really well written and the generous dose of sarcasm was excellent. I would recommend your materials to anyone who needs to take these exams.

Jacob Clevenstine, Strategic Wealth Management Group, Madison, WI