Series 54: 1.3.4. Disclosures And Disclaimers (Not Advice)

Taken from our Series 54 Online Guide

1.3.4. Disclosures and Disclaimers (Not Advice)

Disclosures or disclaimers can be added to information to assure that the information will not be construed as advice or a recommendation. Here are some examples of such disclosures:

• “No recommendation is being made.”

• “This firm is not acting as a municipal advisor and holds no fiduciary duty to the

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