Series 24: Non-objecting Beneficial Owner (NOBO)

Taken from our Series 24 - FINRA General Principal Qualification Examination

Definition of the term Non-objecting Beneficial Owner (NOBO)...

a security holder who gives permission to a broker-dealer or other financial institution to release the owner’s name and address to the companies that one has invested in. Registering as a NOBO enables the company to contact the beneficial owner about upcoming shareholders meetings and provide other information.

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Scott Krogmann, Regions Bank, Knoxville, TN

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Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

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