Series 63: 5.7.14. Indirect Violations

Taken from our Series 63 Online Guide

5.7.14. Indirect Violations

Investment advisers and IARs are prohibited from engaging in an act indirectly or through another person if the act would have been unlawful for the IA or IAR to perform itself. Essentially, if a firm or one of its professionals asks or hires someone to do something they would be prohibited from doing by securities law, the firm or professional is still committing a violation.

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