Series 53: Fair Dealing

Taken from our Series 53 Online Guide

Fair Dealing

MSRB Rule G-17 requires broker-dealers to deal fairly with all persons and not engage in any deceptive, dishonest, or unfair practice.

A broker-dealer has the obligation to disclose all the material information it knows concerning a security when selling it, as well as material information about the security that is reasonably accessible to the market from established industry sources.

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