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- Selling_away abstract "Selling away in the U.S. securities brokerage industry is the inappropriate practice of an investment professional (such as a registered representative, stockbroker, or financial adviser) who sells, or solicits the sale of, securities not held or offered by the brokerage firm with which he is associated (affiliated). 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 only one Brokerage firm and they obtain such licenses or "series" by passing standardized Financial Industry Regulatory Authority (FINRA) exams such as the Series 6 or Series 7 exam. See List of Securities Examinations for types of securities licenses in the U.S.More specifically, selling away describes the situation where the transaction or securities in question are not approved for sale by the firm, they are not on the firm’s approved product list. The approved product list identifies the types of securities and investments that are approved for brokers to sell after the securities have been subjected to the brokerage firm's due diligence process which includes receiving the necessary risk and compliance department reviews and approvals, and so forth.Selling away often involves investment securities that are in the form of a private placement or other non-public investment, though not always. Sometimes a transaction may not be an obvious or apparent 'investment' or security. Selling away may not always be deliberate or intentional or with even intent to deceive an investor, but in many cases, the broker knew what he or she was doing. Selling away is often associated with a broker's other ("outside") business activities (those other businesses or activities that a broker conducts outside or separate from his/her securities brokerage activities.)Selling away situations result from a broker's desire to not pass up on earning a commission on an investment his client is willing to buy, and further, to not have to share any of the commission with his/her associated firm. Selling away schemes are particularly dangerous for investors because they usually end up becoming victims of theft, securities fraud, or some other loss related to the investment. These schemes also often involve the sale of promissory notes which are essentially loan investments wherein the borrower promises to pay investors high interest rates in exchange for the loan amount from the investor. Once the investor (client) pays the money, the borrower sooner or later stops (or never begins) paying interest payments and the client’s investment vanishes.".
- Selling_away wikiPageExternalLink 15307813-Selling-Away-A-Primer-For-Investors-And-Their-Attorneys.
- Selling_away wikiPageExternalLink ARTINV0000245-SellingAway.asp.
- Selling_away wikiPageExternalLink www.finra.org.
- Selling_away wikiPageID "22780164".
- Selling_away wikiPageLength "12415".
- Selling_away wikiPageOutDegree "19".
- Selling_away wikiPageRevisionID "670675026".
- Selling_away wikiPageWikiLink Brokerage_firm.
- Selling_away wikiPageWikiLink Category:Finance.
- Selling_away wikiPageWikiLink Category:Finance_fraud.
- Selling_away wikiPageWikiLink Category:Securities_(finance).
- Selling_away wikiPageWikiLink Due_diligence.
- Selling_away wikiPageWikiLink Financial_Industry_Regulatory_Authority.
- Selling_away wikiPageWikiLink Financial_adviser.
- Selling_away wikiPageWikiLink LPL_Financial.
- Selling_away wikiPageWikiLink Lehman_Brothers.
- Selling_away wikiPageWikiLink Lehman_Brothers_Holdings_Inc..
- Selling_away wikiPageWikiLink Private_Ledger.
- Selling_away wikiPageWikiLink List_of_Securities_Examinations.
- Selling_away wikiPageWikiLink List_of_securities_examinations.
- Selling_away wikiPageWikiLink PaineWebber.
- Selling_away wikiPageWikiLink Paine_Webber.
- Selling_away wikiPageWikiLink Private_placement.
- Selling_away wikiPageWikiLink Registered_representative.
- Selling_away wikiPageWikiLink Registered_representative_(securities).
- Selling_away wikiPageWikiLink Securities_fraud.
- Selling_away wikiPageWikiLink Security_(finance).
- Selling_away wikiPageWikiLink Stockbroker.
- Selling_away wikiPageWikiLink Sutherland_Asbill_&_Brennan.
- Selling_away wikiPageWikiLink U.S._Securities_and_Exchange_Commission.
- Selling_away wikiPageWikiLinkText "Selling away".
- Selling_away hasPhotoCollection Selling_away.
- Selling_away wikiPageUsesTemplate Template:Multiple_issues.
- Selling_away subject Category:Finance.
- Selling_away subject Category:Finance_fraud.
- Selling_away subject Category:Securities_(finance).
- Selling_away hypernym Practice.
- Selling_away type Article.
- Selling_away type Company.
- Selling_away type Article.
- Selling_away type Market.
- Selling_away type Security.
- Selling_away comment "Selling away in the U.S. securities brokerage industry is the inappropriate practice of an investment professional (such as a registered representative, stockbroker, or financial adviser) who sells, or solicits the sale of, securities not held or offered by the brokerage firm with which he is associated (affiliated).".
- Selling_away label "Selling away".
- Selling_away sameAs m.05zvd3d.
- Selling_away sameAs Q7448663.
- Selling_away sameAs Q7448663.
- Selling_away wasDerivedFrom Selling_away?oldid=670675026.
- Selling_away isPrimaryTopicOf Selling_away.