Series 63: Recommending Securities The Professional Trades In

Taken from our Series 63 Online Guide

Recommending Securities the Professional Trades In

Anytime an investment adviser recommends a security that he or she owns, the adviser must disclose this to the client. Advisers must also disclose if they are acting against the recommendations they provide to clients. This limits unethical professionals’ abilities to drive up or down the price of an investment by telling their clients to buy or sell, and then doing the opposite themselves.

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I just wanted to say thank you! Thank you! Thank you! I had taken the 63 and failed and was quite discouraged. I happened to come across your book and iPhone app and I just passed [the Series 63] yesterday with an 83 ... a 15 pt difference than the last time I took it. I can not recommend your materials enough!

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