Series 65

AAA

Client Communication and Compensation - Introduction

Within the securities industry there are specific rules and regulations that are in place to protect both existing and potential clients from misleading information, unethical fees or a lack of information.

Within this section we will examine several disclosure rules, as well as how to recognize the difference in contract rules specified by the Uniform Securities Act and the SEC. Finally, you will learn why advertising rules need to be stringent.
The Brochure Rule
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