Series 66: 9.4.12. Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 66 Online Guide

9.4.12. Acting as Agent to Both Parties (Agency Cross Transactions)

An investment adviser must always work in the best interests of its clients. Naturally, it creates a conflict of interest when a firm represents both the buy and sell side of the same transaction, since to work in one person’s best interest is to potentially do harm to the other.

If an investment adviser acts as

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