Series 14: 9.1.5.1. Communications That Include A Recommendation

Taken from our Series 14 Online Guide

9.1.5.1. Communications That Include a Recommendation

Any retail communications that contain recommendations must disclose certain conflicts of interest. These include:

•Whether the firm is a market maker in the recommended security

•Whether the firm is a market maker in the underlying security of an option (for option transactions only)

•Whether the firm was a lead underwriter on an offering of the recommended security

•Whether the firm or any associated person who is responsible for the conte

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