“Okay, let’s keep going,” Homer stated. “Now that you’ve learned all this great stuff about how to help Martha plan her financial future, you have to use it in a manner that’s fair to her. This is all covered under FINRA Rule—Fair Dealing with Customers...and you will definitely see it on the exam. It’s a bunch of dry legalese that only lawyers should be forced to read, but this bit sums it up nicely:”
Implicit in all member and registered representative relationships with cu...
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