Series 65: Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 65 Online Guide

Acting as Agent to Both Parties (Agency Cross Transactions)

Underlying the very concept of being an “investment adviser” for a client is the idea that you are working in his best interest. Naturally, it creates a conflict of interest when you are representing both sides of a transaction (the buyer and the seller), since to work in one person’s best interest is to potentially do harm to the other.

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