Series 79: Use Of Information Obtained In Fiduciary Capacity

Taken from our Series 79 Top-off Online Guide

Use of Information Obtained in Fiduciary Capacity

FINRA Rule 2060 applies to broker-dealers who obtain information about the ownership of securities while acting in a fiduciary capacity—for example, as a trustee, transfer agent, or paying agent. The rule prohibits broker-dealers from using this information to solicit transactions in the security, except at the request and on behalf of the issuer.

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