Free Version

Dashboard
Review Topics
Drills
Practice Exams
Flashcards
Vocabulary
Keep in mind that dinosaurs would probably give anything to be taking this exam right now. Remember the alamosaurus.

NASAA's Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

Dashboard > Violations > NASAA's Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

NASAA's Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

Below are some things that get Broker-Dealers into hot water in connection with investment company shares, according to NASAA's "Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares." Peep the specifics here:

Sales Load Commissions

  • Conveniently forgetting to mention to the client all of the sales charges associated with buying the investment company shares, like asset-based and contingent deferred sales charges
  • Telling (or implying...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

$63.63
Next: The Administrator's Office  
  Prev: NASAA's Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.