Series 26: Communications That Include A Recommendation

Taken from our Series 26 Online Guide

Communications that Include a Recommendation

Any retail communications that contain recommendations must have a reasonable basis for that recommendation and 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 options transactions only)

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

• whether the firm o

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