1) As per either FINRA or SIE regulations, Agents are not allowed to: a) use the...
1) As per either FINRA or SIE regulations, Agents are not allowed to:
a) use the word “guaranteed”
b) guarantee customers against loss.
2) If an agent helps her sister-in-law find a small amount of investors for her S-Corporation without providing notice to her employing member, this is:
a) conflict of interest
b) selling away
My source material says Q2's answer is selling away but if this is not a printing error I need a good explanation as to why.
Homework Answers
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1) As per either FINRA or SIE regulations, Agents are not
allowed to:
a) use the...
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