Series 63: 5.7.7 Selling Away

Taken from our Series 63 Online Guide

5.7.7 Selling Away

If you’ll recall from an earlier section, agents of broker-dealers are only permitted to be employed by one firm at a time. This means that an agent is prohibited from providing any securities services that are not associated with the firm that employs her. In particular, taking part in investment sales for securities that are not sold through an ag

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