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Why is it unethical for a registrant to continue to take the otherside of the market from his or her clients?



Asked by GRAY, Last updated: Dec 05, 2017

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John Smith

John Smith

Answered on Sep 08, 2016

It is considered improper for registrants to make a practice of taking the side of themarket opposite to the side taken by clients (i.e., buying when clients are selling orselling when clients are buying). a registrant can benefit by improving the price theyobtain in their own transactions. for example, encouraging clients to buy when youare selling can help improve the sale price of the registrants transaction. evidence oftaking the opposite side on a regular basis means the registrant is serving his or herown interests rather than the interest of the client and employer.
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