SIE: Using Information Obtained In A Fiduciary Capacity

Taken from our SIE Online Guide

Using Information Obtained in a Fiduciary Capacity

A member firm cannot use information about the ownership of securities that it received in the 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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