Series 66: 9.2.6 Compensation Disclosures

Taken from our Series 66 Online Guide

9.2.6 Compensation Disclosures

One thing to keep in mind regarding the Series 66 exam is that a good general principle to go by is “Disclose, disclose, disclose.” That principle applies to compensation arrangements for all securities professionals. For investment advisers and investment adviser representatives, any fees charged, as well as t

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