Series 6: 5% Policy

Taken from our Series 6 - Investment Company Products/Variable Contracts Representative Exam

Definition of the term 5% Policy...

a standard for determining pricing fairness that states that markups, markdowns, and commissions for broker-dealers should hover in the neighborhood of 5% of sales.

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Since you're reading about Series 6: 5% Policy, you might also be interested in:

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Series 26 - Monetary Instrument Log (MIL)

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