Month: October 2023

Broker-dealers and investment advisers are subject to a number of restrictions regarding marketing and advertising their services. In contrast, those who are not registered but acting as, for example, an unregistered investment adviser, are not subject to the same restrictions. …

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Brokers and other professionals are frequently involved in situations where they have the authority to make choices on behalf of clients. In making those choices there is frequently a conflict between the best interest of the client and the self-interest …

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