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13 March, 06:13

A registered representative recommends the purchase of a new issue to the customer, and believing that the prospectus is too difficult for the customer to understand, prepares an abstract of the prospectus to send for the customer to read. this action is:

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  1. 13 March, 09:56
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    Prohibited. The prospectus should be given to the customer in whole to consider.
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