Series 26: Restrictions On The Sharing Of Accounts With Customers

Taken from our Series 26 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 these conditions apply: (1) the associated person obtains prior written consent from both the member firm and the customer, and (2) th

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Solomon Exam Prep Study Materials for the Series 26
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