SIE: Restrictions On The Sharing Of Accounts With Customers

Taken from our SIE Online Guide

Restrictions on the Sharing of Accounts with Customers

FINRA also prohibits member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account, unless the following conditions apply: (1) the associated person obtains prior written consent from both the member firm and the customer,

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Since you're reading about SIE: Restrictions On The Sharing Of Accounts With Customers, you might also be interested in:

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