Series 14: 5.2.6. Managing Conduct With The Public

Taken from our Series 14 Online Guide

5.2.6. Managing Conduct with the Public

FINRA strictly prohibits broker-dealers and their associated persons from engaging in specific activities with regard to customer accounts. The Series 14 might test you on the rules and regulations associated with some of these activities.

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Since you're reading about Series 14: 5.2.6. Managing Conduct With The Public, you might also be interested in:

Series 65 - 10.6.3. Requirements for Broker-Dealers

Series 65 - Chapter One

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Series 24 - 4.3.1.3. Regulation M-A, Rule 165

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