Series 27: Permissible Use Of Customers’ Securities

Taken from our Series 27 Online Guide

Permissible Use of Customers’ Securities

A firm cannot lend a customer’s securities to itself or others without first obtaining the customer’s written authorization. Customer accounts with fully paid or excess margin securities must be segregated in one of the following ways:

• Physical segregation of securities with a separate list showing ow

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Series 27: Permissible Use Of Customers’ Securities

Taken from our Series 27 Online Guide

Permissible Use of Customers’ Securities

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