Series 65: Catch-All Provision

Taken from our Series 65 Online Guide

Catch-All Provision

The investment adviser or covered associates are also prohibited from doing any of the prohibited activities listed in the rule indirectly. For example, they may not do any of these things through a family member or someone hired

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Since you're reading about Series 65: Catch-All Provision, you might also be interested in:

Series 79 - 1.3.1. The Client

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Series 79 - 2.3.2. Types of Nonsystematic Risk

Series 52 - 7.4.2.2. Discount Rate

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Ashley