Series 63: 5.7.4. Client Confidentiality

Taken from our Series 63 Online Guide

5.7.4. Client Confidentiality

Few things can damage relationships like money. It can change people’s motivations, undermine their trust, and call into question their intentions. That’s why many clients are more apt to talk about their love lives than their financial lives.

To help protect client confidentiality, the NASAA places a high value on inve

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