Series 6: 7.5.1. Disclosure Requirements For Broker-Dealers And Associated Persons

Taken from our Series 6 Online Guide

7.5.1. Disclosure Requirements for Broker-Dealers and Associated Persons

In addition to properly evaluating a customer’s needs, goals, and financial position, broker-dealers and associated persons must make all proper disclosures to customers. These disclosures include the material information associated with a particular investment, including a prospectus and a statement of additional information for certain mutual funds. Additionally, a firm or

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