Series 26: Misrepresenting The Member Firm’s Registration

Taken from our Series 26 Online Guide

Misrepresenting the Member Firm’s Registration

A firm may not represent that its registration with the SEC indicates the SEC’s approval of its business, financial standing, or conduct. Doing this is considered to be a manipulative, deceptive, or other fraudulent device.

SEC Rule 15c1-3

Since you're reading about Series 26: Misrepresenting The Member Firm’s Registration, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 26
Please Enable Javascript
to view this content!