Series 65: 10.11.3. Margin And Lending Specific Rules

Taken from our Series 65 Online Guide

10.11.3. Margin and Lending Specific Rules

When a broker-dealer does offer lending services, especially those that involve allowing clients to buy more securities than they can afford by relying on their own funds, certain ethical requirements are placed on firms and securities professionals. Failure to meet these requirements can result in actio

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