Chapter 10
Conflicts of Interest and Fiduciary Issues
This chapter of the study guide covers conflicts of interest and fiduciary issues. There are perhaps no greater concepts that link every topic discussed in this book or presented to you on the exam. While the rules may seem slightly obtuse at times, referencing extremely rare securities transactions that most will never deal in, they all come back to the concept of registered individuals being fiduciaries, or trusted third parties, wh