SIE: Conducting Business With The Public

Taken from our SIE Online Guide

Conducting Business with the Public

When communicating with the public about investments, you may not mislead, omit material facts, make untrue statements, or do or say anything that might defraud or deceive. This foundational principal is enshrined in the Securities Exchange Act, which says:

It is unlawful for any person, directly or indirectly, by t

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