Series 26: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our Series 26 Online Guide

Use of Manipulative, Deceptive, or Other Fraudulent Devices

FINRA prohibits member firms from transacting in securities by means of manipulative, deceptive, or other fraudulent devices. The prohibition includes purposefully making any untrue statement of a material fact or omitting a material fact when discussing a particular investment. This broad rul

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