Series 14: 9.1.4.3. Options

Taken from our Series 14 Online Guide

9.1.4.3. Options

Options communications must be limited to general descriptions of the options under discussion unless accompanied by an options disclosure document. An options disclosure document will describe the mechanics of buying, writing, and exercising options; the risks involved; their uses and markets; transaction costs; and margin requirements. No suggestion of certainty of future performance is permitted.

Recall that retail communicati

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