Series 14: 5.2.4.4.3. Automatic Exemptions

Taken from our Series 14 Online Guide

5.2.4.4.3. Automatic Exemptions

If a dealer or advisor discovers a political contribution by one of its MFPs or MAPs that triggers the ban, it may qualify for an automatic exemption. Automatic exemptions must meet three requirements:

• The firm discovered the political contribution within four month

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