Series 52: 8.4.2.3.3. Sharing Of Customer Accounts

Taken from our Series 52 Top Off Online Guide

8.4.2.3.3. Sharing of Customer Accounts

Broker-dealers and their associated persons generally may not share in the profits or losses of a customer’s account or a customer transaction. This prohibition seeks to prevent conflicts of interest and excessive entanglement in customer accounts.

Sharing in profits and

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