Series 24: Communications That Include A Recommendation

Communications that Include a Recommendation

Any retail communications that contain recommendations must disclose certain conflicts of interest. These include:

• • Whether the firm is a market maker in the recommended security
• • Whether the firm is a market maker in the underlying security of an option (for option transactions only)
• • Whether the firm was a lead underwriter on an offering of the recommended security
• • Whether the firm or any associated person who is responsible f