Series 14: 8.4.1. Disclosure Of Conflicts Of Interest To Customers

Taken from our Series 14 Online Guide

8.4.1. Disclosure of Conflicts of Interest to Customers

Broker-dealers must always notify their customers of potential conflicts of interest. Section 15(c)(1) of the Exchange Act prohibits brokers and dealers from attempting to buy or sell any security by means of any manipulative, deceptive, or other fraudulent device.

Control relationships and participating interest in a security. Whenever a broker-dealer has any sort of controlling relatio

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