Series 65: 10.9.6. Compensation Disclosures

Taken from our Series 65 Online Guide

10.9.6. Compensation Disclosures

One thing to keep in mind regarding the Series 65 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 the formula by whi

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