Series 63: Chapter 10

Chapter 10

Conflicts of Interest and Fiduciary Issues

There’s no more appropriate place for this study guide to end than talking about 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,