Series 7: 13.1.1.2 Use Of Information Obtained In Fiduciary Capacity

Taken from our Series 7 Top-off Online Guide

13.1.1.2 Use of Information Obtained in Fiduciary Capacity

FINRA places restrictions on how information obtained in a fiduciary capacity can be used. A member firm cannot use information about the ownership of securities that it received in its 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

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Series 7: 13.1.1.2 Use Of Information Obtained In Fiduciary Capacity

Taken from our Series 7 Top-off Online Guide

13.1.1.2 Use of Information Obtained in Fiduciary Capacity

Since you're reading about Series 7: 13.1.1.2 Use Of Information Obtained In Fiduciary Capacity, you might also be interested in:

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