Series 7: 3.6.14 Rule G-14—Reports Of Sales Or Purchases

Taken from our Series 7 Top-off Online Guide

3.6.14 Rule G-14—Reports of Sales or Purchases

Broker-dealers cannot distribute or publish reports of purchases or sales unless they have reasonable knowledge that they are true and accurate. Transactions must be reported to the MSRB’s Real-Time Transaction Reporting System promptly and completely.

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