Business Practices - Introduction
Though there are some portions of the Business Practices section of the test that can get a little confusing, a bit of common sense here can take you a long way. When thinking about fraudulent activity, simply ask yourself, "is this ethical?" If you come up with a common sense answer of no, you have most likely answered the question!
also states that the above definition "applies to any securities offer, sale or purchase, including offers, sales or purchases involving registered, exempt or federal covered securities." USA
|Exam Tips and Tricks
An attempt by any person, individual or entity "in connection with the offer, sale or purchase of a security, directly or indirectly:
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