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Definition
| What two categories of fraudulent violations are listed in the Uniform Securities Act? |
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Definition
| What are some examples of misleading statements that are prohibitied by the Uniform Securities Act? |
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Definition
| What facts must an agent give to a client about a potential investment? |
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Definition
| With regard to inside information, what is a violation of the Uniform Securities Act for an agent to do? |
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Definition
| What information should be obtained from the client to determine an investment's suitability for that particular customer? |
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Definition
| What types of actions would violate the Suitability Rule? |
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Term
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Definition
| What are some prohibitive activities in regard to the money in a client's account? |
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Definition
| What are some examples of other prohibited practices or activities? |
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Term
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Definition
| What must an investment adviser do if they desire to act as a principal for their own account, or as a broker for both the client and another person when effecting a securities transaction? |
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