Series 27: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our Series 27 Online Guide

Use of Manipulative, Deceptive, or Other Fraudulent Devices

It is unlawful for any broker-dealer to engage in or encourage any securities transaction by means of any manipulative, deceptive, or other fraudulent device. The SEC and FINRA have used this br

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