Series 65: 10.11.16.5 Ban On Certain Third-Party Solicitors

Taken from our Series 65 Online Guide

10.11.16.5 Ban on Certain Third-Party Solicitors

The pay to play rule also prohibits investment advisers from paying any non-regulated persons to solicit advisory business on their behalf. According to the rule, regulated persons are:

• Broker-dealers that are registered wi

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Series 65: 10.11.16.5 Ban On Certain Third-Party Solicitors

Taken from our Series 65 Online Guide

10.11.16.5 Ban on Certain Third-Party Solicitors

Since you're reading about Series 65: 10.11.16.5 Ban On Certain Third-Party Solicitors, you might also be interested in:

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