Series 65: 10.11.5. Client Confidentiality

Taken from our Series 65 Online Guide

10.11.5. Client Confidentiality

Few things can screw up 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 life than their financial life.

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

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