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http://www.investopedia.com/exam-guide/series-66/administrative-procedures/investment-advice-rescission-penalties-liabilites.asp
... Investment Advice Any investment advice in violation of the USA is also liable for
civil penalties, as long as the advice was dispensed for a fee. ...
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http://www.investopedia.com/exam-guide/series-66/administrative-procedures/civil-penalties-liabilities.asp
... Civil. Civil liabilities arise when a violation of the USA has occurred and
the person harmed wishes to recover any losses incurred. ...
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http://www.investopedia.com/exam-guide/series-66/administrative-procedures/criminal-liabilities-penalties.asp
... penalties arise when a person or an entity is proven guilty of consciously and
willingly conducting a fraudulent securities transaction (in violation of the USA ...
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http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-nonpublic-information.asp
... 13.13 Technical Analysis; 13.14 Using Price Multiples. 14. Fixed Income Investments:
14.1 Introduction; 14.2 Bond Features; 14.3 Basic Coupon Structures; ...
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http://www.investopedia.com/articles/retirement/09/retire-interest-only.asp
... But since bonds mature, bond mutual funds' interest payments don't stay the same. ...
is more akin to a systematic withdrawal plan, which is in violation of the ...
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http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-responsibilities-supervisors.asp
... 13.13 Technical Analysis; 13.14 Using Price Multiples. 14. Fixed Income Investments:
14.1 Introduction; 14.2 Bond Features; 14.3 Basic Coupon Structures; ...
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http://www.investopedia.com/exam-guide/series-7/securities-markets/prohibited-activities.asp
... Selling Away (NASD Rule 3040): a prohibited practice and violation of FINRA rules,
selling away occurs when a representative trades securities through a firm ...
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http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-knowledge-of-law.asp
... 13.13 Technical Analysis; 13.14 Using Price Multiples. 14. Fixed Income Investments:
14.1 Introduction; 14.2 Bond Features; 14.3 Basic Coupon Structures; ...
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http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-misconduct.asp
... 13.13 Technical Analysis; 13.14 Using Price Multiples. 14. Fixed Income Investments:
14.1 Introduction; 14.2 Bond Features; 14.3 Basic Coupon Structures; ...
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http://www.investopedia.com/exam-guide/series-66/administrative-procedures/administrator-authority.asp
... the following powers: To cooperate in SEC investigations; To publish information
concerning a violation; To compel testimony regarding ...