Series 24: 3.5.1.3.1. Breakpoint Sales

Taken from our Series 24 Online Guide

3.5.1.3.1. Breakpoint Sales

Because breakpoints can be confusing to investors, registered representatives should help their clients take advantage of breakpoints. If customers could receive a breakpoint, representatives should advise them of this, even if it means that their commission is reduced. If a rep fails to do this and sells a mutual fund to a client in an amount just under the breakpoint, this is ca

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