Review Topics
Practice Exams
Some of my friends recommend clenching and unclenching my buttocks during the exam. Personally, I prefer not to receive advice about my hindquarters during times of stress.

Recap #8

Dashboard > Violations > Recap #8

Recap #8

Don't doubt him, haters. Myron's company, AmericanEagleGold, just rifled off an amazing string of conflicts of interests. Let's see the replay in slow motion, shall we?

We had agency cross transactions, acting as principal, earning compensation in addition to advisory fees, recommending securities the adviser also trades in (aw, snap!), and finally, a classic move, acting contrary to recommendations.

Without a doubt, this guy should be going a way for a long, long time. But will anyone be able...

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

Next: Advertisements  
  Prev: Potential Conflicts of Interest