Series 99: 1.2.4.1.4 Derivatives Disclosures

Taken from our Series 99 Top-off Online Guide

1.2.4.1.4 Derivatives Disclosures

Derivatives instruments are more complex and carry greater risk than securities, and they are less transparent. As a result, any retail communication containing content other than general, factual information must contain a disclosure statement detailing the nature and risks of the product.

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