Series 7: 3.6.25 Rule G-25—Improper Use Of Assets

Taken from our Series 7 Top-off Online Guide

3.6.25 Rule G-25—Improper Use of Assets

Broker-dealers may not make improper use of municipal securities or funds held on behalf of another person. They may not guarantee a customer against loss or share in their profits or losses.

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Since you're reading about Series 7: 3.6.25 Rule G-25—Improper Use Of Assets, you might also be interested in:

Series 65 - Current Financial Status

Series 66 - Price Orders

Series 50 - Municipal Securities Rulemaking Board (MSRB)

Series 65 - Chapter One: Economic Factors and Business Information

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