Business, 13.07.2019 04:30 miyah5316

One of your fellow investment adviser representatives (iar) at your firm recently came to you and asked for a loan. you couldn't afford to give him the loan, but two days later you overheard him on the phone asking a client for the same loan. the client informs the iar that he also does not have the cash available so the iar recommends to the client that he sell a mutual fund and loan the rr the resulting proceeds. the uniform securities act governs such actions and by performing these actions, the iar has:

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One of your fellow investment adviser representatives (iar) at your firm recently came to you and as...