Series 99: 2.3.2.3 Permissible Use Of Customers’ Securities

Taken from our Series 99 Top-off Online Guide

2.3.2.3 Permissible Use of Customers’ Securities

A firm cannot lend a customer’s securities to itself or others without first obtaining the customer’s written authorization. Customer accounts with fully paid or excess margin securities must be segregated in one of the following ways:

• Physical segregation of securities with a separate lis

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