Rule for the Use of Senior-Specific Certifications and Professional Designations S

Regulation
Thursday, September 1, 2011
S-2011-03

 

This Rule sets forth standards to protect consumers from misleading and fraudulent marketing practices with respect to the use of senior-specific certifications and professional designations in the offer, sale, or purchase of securities or insurance, or in the providing of investment advice regarding securities or insurance.
 

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SI_2011_03_senior_specific_certs.pdf23.54 KB

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