Series 3: 7.3.7.3. False Representations

Taken from our Series 3

7.3.7.3. False Representations

Prohibition on guaranteeing customers against loss. NFA member firms and associated persons are prohibited from guaranteeing a customer against loss in connection with its futures and options accounts. Nor may they assert that they will limit the losses of its customers o

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Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66