Series 65: 10.10.6 Unethical Trading Practices

Taken from our Series 65 Online Guide

10.10.6 Unethical Trading Practices

The NASAA outlines a number of unethical practices relating to the purchase or sale of securities through professionals and their firms. These prohibited practices are considered taboo, because they ultimately create conflicts of interest between a client and his professional, limit a client’s ability to get a fair price for his securities, and prevent him from monitoring his own account.

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