Series 63: 5.1.5.1 Compensation Disclosures

Taken from our Series 63 Online Guide

5.1.5.1 Compensation Disclosures

One thing to keep in mind regarding the Series 63 exam: a good general principle to go by is “Disclose, disclose, disclose.” That principle applies to compensation arrangements for all securities professionals.

For investment advisers and investment adviser representatives, any fees charged as well as the formula by which those fees are determined must be included in every client con

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