Series 63: 5.7.12.1 Acting As Both Principal And An Investment Adviser

Taken from our Series 63 Online Guide

5.7.12.1  Acting as Both Principal and an Investment Adviser

While broker-dealers regularly sell their customers securities that they themselves actually own (known

Since you're reading about Series 63: 5.7.12.1 Acting As Both Principal And An Investment Adviser, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 63
Please Enable Javascript
to view this content!