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Information All Physician Investors Should Know
By Dr. David Edward Marcinko MBA CMP®
SPONSOR: http://www.CertifiedMedicalPlanner.org
According to Wikipedia, selling away in the U.S. securities brokerage industry is the inappropriate practice of an investment professional who sells, or solicits the sale of, securities not held or offered by the brokerage firm with which he is associated.
CITE: https://www.r2library.com/Resource/Title/0826102549
An example of the term expressed in a sentence is, “The broker was selling investments away from the firm.” Brokers marketing securities must have obtained the appropriate securities licenses for various types of investments. Brokers in the U.S. may be “associated” with one or more Brokerage firms and must obtain licenses by passing standardized Financial Industry Regulatory Authority exams such as the Series 6 or Series 7 exam.
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In the past I’ve held these as well as a Series 63 and 65 license [SEC].
CFI: https://corporatefinanceinstitute.com/resources/knowledge/trading-investing/selling-away/
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Filed under: "Ask-an-Advisor", CMP Program, Ethics, Glossary Terms, Investing, Touring with Marcinko | Tagged: David Edward Marcinko, Dictionary of Health Economics and Finance, FINRA, FIRA, SEC, selling away, selling away securities, stock brokers |
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