Series 7: 11.3.1. Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our Series 7 Online Guide

11.3.1. Manipulative, Deceptive, or Other Fraudulent Devices

1. Member firms are forbidden to engage in any transaction or encourage the purchase or sale of any security by means of manipulative, deceptive, or other fraudulent devices. This broad prohibition has been applied over the years to address a wide range of misconduct, including market manipulation

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Ashley F, Citi. New York, NY

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Nora, PA

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Kary Youman, Phillips & Co. Portland, Oregon

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Blake Rossman, True Wealth Financial Partners. Fircrest, WA

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Alex