Series 24: 4.1.12.3. Fraudulent Interstate Transactions

Taken from our Series 24 Online Guide

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4.1.12.3. Fraudulent Interstate Transactions

Section 17 of the Securities Act declares it unlawful in the offer or sale of any securities to:

• Employ any device, scheme, or artifice to defraud

• Profit by means of an untrue statement or omission of a material fact

• Engage in any transaction or activity that would defraud or deceive the purchaser

Section 17 further prohibits any person (in this case “person” refers to an entity) from pu

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