Series 99: 3.1.5 Payments Involving Publications That Influence A Security’s Market Price

Taken from our Series 99 Top-off Online Guide

3.1.5 Payments Involving Publications that Influence a Security’s Market Price

FINRA prohibits firms from giving anything of value to a media person to try to influence him to write something that might influence the price of a security. Venues include any electronic or other public media, including an

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