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 t

+ 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 24 - Minimum Requirements

Series 65 - 10.10.5 Suitability

Series 65 - 7.2.1.3.1 Marginable Securities

Series 65 - Post-Registration Requirements for Advisers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

I passed the Series 66 exam with an 83 this morning! I wanted to personally thank you for all the help you have given me. Your method of presenting the information needed to pass these exams is outstanding (I only had two weeks to study). In the future I wouldn't even consider using another resource to tackle the preparation for a Series exam. Moving forward in my career I will be sure to pass this information on to friends and colleagues without hesitation.

Michael F. Lee, Jr. Hatteras Funds, Raleigh, NC

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL