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What conflicts of interest must a broker avoid?

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What conflicts of interest must a broker avoid?

When you're dealing with a broker licensed with the NASD, there aren't a lot of rules relating to conflicts of interest. The very nature, the very structure, is inherently full of conflicts of interest. If you're working with a registered investment advisor, it's a different story where, first of all, they have to disclose all their conflicts of interest to you. And there's a lot of conflicts of interest they just can't take. They can't take payment for the sale of a product, which would be one of the classic conflicts of interest.

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What conflicts of interest must a broker avoid?

What conflicts of interest must a broker avoid?

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What conflicts of interest must a broker avoid?

What conflicts of interest must a broker avoid?

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