Wednesday, July 24, 2013

TAKING THE SERIES 6 EXAM? KNOW PROVISIONS OF REGULATION T

If you are planning to take the Series 6 exam to be registered for Mutual Funds/Variable Contracts, please make sure that you are familiar with Regulation T, governing credit that a broker/dealer may extend to customers.  This includes being aware of time limits given by Reg T for a customer to pay for mutual funds or variable annuities.

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