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Selling Away is any recommendation to a customer that involves an investment product that is not offered through the employing firm without the firm’s knowledge and consent. This is a violation of industry regulations and may result in action being taken against the representative.
If an agent makes a recommendation to a customer relating to an investment product the firm does not transact business in, or advised the client to go to another firm and execute an order for a product that the firm does not transact business in, the agent has committed a violation known as selling away. The firm could in theory be held liable for any losses that the customer suffers as a result. In most cases of selling away the firm has no knowledge of the agent’s recommendations. Most member firms have strict polices relating to the investment products its agents may recommend to customers. In fact, many firms have product committees that meet regularly to review the products to be offered by the firm and its agents. Be sure you are ready to pass your exam with our Greenlight pass guarantee.
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The Securities Institute of America, Inc.