Series 7: 3.6.17 Rule G-17—Prohibition Of Fraudulent Conduct

Taken from our Series 7 Top-off Online Guide

3.6.17 Rule G-17—Prohibition of Fraudulent Conduct

Broker-dealers, municipal securities dealers, and municipal advisors must deal fairly with all persons and may not engage in any deceptive, dishonest, or unfair practice.

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