The material discussed within this chapter will comprise approximately 18 questions. Public protection from unfair practices is an extremely important topic and all registered representatives must recognize the rules.

The FINRA and the SEC have a number of rules pertaining to the marketing, prospecting and presentation of securities. The goal of these rules is to protect the public from inaccurate information or unfair practices. So the registered representative must be familiar with what conduct is not permissible when performing these activities. The most relevant rules are described below, organized by which act they fall under.





The Prospectus

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