SIE: 10.2.1. Using Information Obtained In A Fiduciary Capacity

10.2.1. Using Information Obtained in a Fiduciary Capacity

A member firm cannot use information about the ownership of securities that it received in the capacity as a paying agent, transfer agent, or trustee to solicit purchases, sales, or exchanges—except at the request and on behalf of the issuer of the security.

FINRA Rule 2060