SIE: Look-Back Provision

Taken from our SIE Online Guide

Look-Back Provision

The pay to play rule contains a look-back provision that requires dealers and advisors to look back when determining whether an associated person has triggered the ban on securities business.

A contribution will trigger the ban if it was made within two years prior to the date the individual became an MFP.

Sample Question

While working at a Starbucks, Jenny contributes

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