Series 66: No Bundling

No Bundling

Investment advisers and their covered associates may not coordinate any contributions to an official who can direct advisory business to the firm. This is often called bundling. Additionally, the rule states that no investment adviser shall solicit any person or PAC to make any contribution or payment to an official who can direct advisory business to the firm.

Example Question 1

You are working as a covered associate and you live in an area that allows you to vote for an official who can direct business to your firm. You go door to door and s