Series 7: 11.3.1 Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our Series 7 Top-off Online Guide

11.3.1 Manipulative, Deceptive, or Other Fraudulent Devices

Member firms are forbidden to engage in any transaction or encourage the purchase or sale of any security by means of manipulative, deceptive, or other fraudulent devices. This broad prohibition has been applied over the years to address a wide range of miscondu

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