Series 53: Guaranteeing Against Loss

Taken from our Series 53 Online Guide

Guaranteeing Against Loss

Broker-dealers may not guarantee, or offer to guarantee, a customer against loss in either the customer’s account or in a transaction. This rule applies to written and verbal guarantees.

Put options and repurchase agreements are not considered guarantees against loss if their terms are provided to the customer in writing on the transaction’s confirmation ticket and properly recorded. A

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