Series 26: Asset Allocation Program And Breakpoint Sales

Taken from our Series 26 Online Guide

Asset Allocation Program and Breakpoint Sales

Recall that FINRA prohibits breakpoint sales when selling mutual fund shares. To help FINRA determine whether this rule has been violated, member firms are encouraged to offer their customers a bona fide asset allocation program designed to meet their diversification needs and investment goals. Asset allocation is an investment strategy that balances risk and rew

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