Series 63: Indirect Violations

Taken from our Series 63 Online Guide

Indirect Violations

Investment advisers and IARs are prohibited from engaging in an act indirectly or through another person if the act would have been unlawful for the IA or IAR to do directly. Essentially, if you ask someone or hire someone to do something for you that you would be prohibited from doing by securities law, you are still committing a violation.

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