Series 66: 7.8. Regulation Of Investment Adviser Representatives

Taken from our Series 66 Online Guide

7.8. Regulation of Investment Adviser Representatives

While some investment advisers are one-man or -woman shops, most employ dozens, hundreds, or even thousands of investment professionals. These employees often work with individual clients and give individualized advice, seemingly working as investment advisers. Yet, because they are employees at investment advisory firms,

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