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 65 - 6.2.2.3 Qualified Plans for Small Businesses

Series 50 - Yield to Maturity

Series 14 - 4.2. Debt-to-Equity Requirements

Series 24 - 1.2. Requirements and Conditions of FINRA Membership

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

I passed my 66 with an 83%. The main method of studying was the mp3 that I downloaded and listened to on my commute to and from work. The audio book was the reason I did well. Thanks!

Eric Dicken, BB&T Investments, Winterville, NC

I passed the Series 66 with an 82 after just a few weeks of serious studying, thanks to the Solomon Exam Simulator and study calendar! I would (and do) recommend Solomon Exam Prep to everyone!

Janie Richards, Kestra Financial, Austin, Texas

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS

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