Series 52: 8.4.2.3.10. Reciprocal Deals With Investment Companies

Taken from our Series 52 Top Off Online Guide

8.4.2.3.10.  Reciprocal Deals with Investment Companies

Broker-dealers may not solicit business with an investment company in return for steering their customers toward buying shares in that investment company. This is sometimes called the anti-reciprocal rule. Investment companies include:

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