Series 52: 8.4.2.4.3. Soliciting And Coordinating Contributions

Taken from our Series 52 Online Guide

8.4.2.4.3. Soliciting and Coordinating Contributions

Broker-dealers are also prohibited from soliciting others to make or coordinate political contributions to an official of an issuer with which the dealer hopes to engage in municipal securities business. Similarly, broker-dealers are prohibited from soliciting others to make a payment to a political party of the state or locality where the dealer seeks to engage i

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