Series 66: Recommending Securities The Professional Trades In

Taken from our Series 66 Online Guide

Recommending Securities the Professional Trades In

Any time an investment adviser recommends a security that he owns, the adviser must disclose this to the client. Advisers must also disclose if they are acting against the recommendations they provide to clients. This limits unethical professionals’ abilities to drive up or down the price of an investment by telling their clients to buy or sell and then benefiting from that knowledge in their own trades.

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