Series 63: Recommending Securities The Professional Trades In

Taken from our Series 63 Online Guide

Recommending Securities the Professional Trades In

Anytime an investment adviser recommends a security that she 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 doing the opposite themselves.

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Your books and online exam simulators were an excellent study mix: I passed the Series 63 and the Series 79 exams!

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