Series 66: 9.4.16.7 Catch-All Provision

Taken from our Series 66 Online Guide

9.4.16.7  Catch-All Provision

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

Since you're reading about Series 66: 9.4.16.7 Catch-All Provision, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 66
Please Enable Javascript
to view this content!