Series 51: Prohibited Uses Of Proprietary Information By Fiduciaries

Taken from our Series 51 Online Guide

Prohibited Uses of Proprietary Information by Fiduciaries

When dealers act in a fiduciary capacity, they often receive access to confidential, nonpublic information about the ownership of municipal securities. Under MSRB Rule G-24, dealers may not use that information for financial gain or to solicit sales of securities, except with the issuer’s consent.

Since you're reading about Series 51: Prohibited Uses Of Proprietary Information By Fiduciaries, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 51
Please Enable Javascript
to view this content!