Review Topics
Practice Exams
Work on your penmanship. The scorers never appreciated my buffalo scratch.

Sharing in a Client's Profits/Losses

Dashboard > Violations > Sharing in a Client's Profits/Losses

Sharing in a Client's Profits/Losses

Bubbie was typically a pretty trusting person, but she was a bit concerned about loaning AmericanEagleGold $100,000 at 2.75% interest just so they could dive into some hot IPO over at Smarmy & Sons Broker-dealers. With Bubbie on the ropes, Myron decided to sweeten the deal.

"Mrs. Bubbstein," he said. "I've got a good feeling about this thing. In fact, I don't think we can go wrong here. I feel so good about this, that I'm willing to go all in with you. My firm will match you dollar for...

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

Next: Soliciting Orders for Unregistered, Non-Exempt Securities  
  Prev: Unauthorized Borrowing of Client Funds

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