Series 65: Conflicts Of Interest And Other Fiduciary Issues

Taken from our Series 65 Online Guide

Conflicts of Interest and Other Fiduciary Issues

This study guide finishes with a list of activities an adviser should never engage in. While most of the preceding discussion has been about broad ethical concepts related to servicing a client’s account, the actions in this section are concrete and unforgivable. Breaking any of these ethical standards can and does result in advisers losing their licenses and livelihoods, as well as actual jail time.

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