9.4  Conflicts of Interest and Other Fiduciary Issues

This study guide finishes with conflicts of interest and fiduciary issues. There are no greater concepts that link every topic discussed in this section of the book better than these. Simply put, a conflict of interest is a scenario in which a securities professional or firm has an incentive to serve one interest at the expense of another interest or obligation. It can include serving the interest of a professional or firm over the interest of a client or serving the interest of one client over another. The rules al