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Ethical Business Practices for Investment Professionals

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Ethical Business Practices for Investment Professionals

OK, the title sounds like more of what we’ve already covered, but there are additional ethical practices that are discussed in the Uniform Securities Act that will be covered on the Series 63 exam. What we’ve covered so far in the Ethics section dealt with prohibiting fraud when providing investment advice.

In a nutshell, the Uniform Securities Act prohibits fraud, or intent to deceive or manipulate, in the solicitation of clients. The Uniform Securities Act specifically states:

In the so...

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