Series 65

By Investopedia AAA

Conflicts of Interest - Introduction

Both the Investment Advisers Act of 1940 and the Uniform Securities Act spell out a number of potential conflicts of interest and unethical behaviors. Each of these has the potential to impede the IA's ability to offer objective, unbiased advice. Therefore, an IA must disclose potential conflicts of interest in writing to each client.
Conflicts of Interest

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