1) As per either FINRA or SIE regulations, Agents are not allowed to:

a) use the word “guaranteed”

b) guarantee customers against loss.

2) If an agent helps her sister-in-law find a small amount of investors for her S-Corporation without providing notice to her employing member, this is:

a) conflict of interest

b) selling away

My source material says Q2's answer is selling away but if this is not a printing error I need a good explanation as to why.

Answer rating: 100% (QA)

The detailed answer for the above question is provided below In question 1 t... View the full answer