Series 66: Exemption For Certain Returned Contributions

Taken from our Series 66 Online Guide

Exemption for Certain Returned Contributions

Investment advisers may be exempt from the consequences of an inadvertent political contribution by a covered associate who was not entitled to vote in an election. The investment adviser may qualify for the exemption if:

• The investment adviser discovered the political contribution within four months from th

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Since you're reading about Series 66: Exemption For Certain Returned Contributions, you might also be interested in:

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