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 with the SEC and FINRA and that f

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