SIE: Contributions

Taken from our SIE Online Guide

Contributions

The rule applies to contributions made to candidates, elected officials, and their offices. If an individual or office can influence the outcome of the hiring of a broker-dealer or municipal advisor, contributions will trigger the ban. The official must be someone who has the authority to influence whether municipal securities or advisory business is directed toward the broker-dealer or advisor. A contribution to a municipal official or entity that

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