Series 52: 8.4.2.3.12. Deceptive, Dishonest, And Unfair Practices

Taken from our Series 52 Top Off Online Guide

8.4.2.3.12.  Deceptive, Dishonest, and Unfair Practices

The MSRB requires broker-dealers to treat all persons fairly and to not engage in any deceptive, dishonest, or unfair practices.

Broker-deal

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