SIE: 10.2.7. Restrictions On The Sharing Of Accounts With Customers

Taken from our SIE Online Guide

10.2.7. Restrictions on the Sharing of Accounts with Customers

FINRA and the MSRB also prohibit member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account, unless the following conditions apply: (1) the associated person obtains prior written consent from both the member firm and th

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