Series 99: Objecting Beneficial Owner (OBO)

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Objecting Beneficial Owner (OBO)...

a security holder who does not give permission to a broker-dealer or other financial institution to release the owner’s name and address to the companies that one has invested in, for the purpose of receiving proxy mailings and other shareholder communications.

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