Ethical or unethical? NASAA Statement of Unethical Business Practices. Performance Opportunities!

[@Series7Guru]

Must watch for all NASAA exams kzbin.info/www/bejne/Zn7bh2SKhr1mgKc

[@quincecheatham8483]

Dean - I am so grateful for the content you and Brian Lee have created. One clarification question: at 2:59 of this video you briefly mention borrowing from immediate family members. My Q Bank question mentioned that it was prohibited to borrow money from an immediate family member who is a client of the broker dealer, even with written permission of the customer and the broker-dealer. The explanation went on to say money may never be borrowed from a client, unless the client is in the business of lending money. Is this correct that you cannot borrow from an immediate family member, even with written permission?

[@Series7Guru]

On the broker/dealer side yes you can borrow from immediate family member who is not a client. On the investment advisory side no.

[@iamdianamarcela]

This was super helpful!!! ALL YOUR VIDEOS ARE ! Thank you so much

[@Series7Guru]

De nada

[@chanceporter5286]

Thank you!

[@Series7Guru]

De nada

[@wjm4elements]

Why did you have both "ethical" and "unethical" columns? Their answers were opposite for all cases.

[@Series7Guru]

Hmmmm. Don't think so but will check it out.

[@kingpapi.818]

I dont think it was necessary to have ethical and unethical on this chart, cause obviously if something is unethical its not ethical.... nevertheless, you are amazing dean. I passed my series 7 with your help and my series 63 is in 3 days.

[@andreluizbaldo3267]

Amazing content

[@Series7Guru]

Thanks.

[@Shellycrz]

👍