Series 65: 10.11.9. Selling Away

Taken from our Series 65 Online Guide

10.11.9. Selling Away

If you recall from an earlier section of this text, agents of broker-dealers are only permitted to be employed by one firm at a time. This means that any securities services an agent provides away from his employing firm are prohibited. In particular, taking part in investment sales for securities that are not sold through an agent’s firm represents an ethical violation

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