Series 24: 2.2.2.1. Prohibition On Guaranteeing Customers Against Loss

Taken from our Series 24 Online Guide

2.2.2.1. Prohibition on Guaranteeing Customers Against Loss

FINRA prohibits member firms and their associated persons from guaranteeing a customer against loss in connection with any securities transaction or customer account. This includes offering to reimburse customers for losses.

FINRA Rule 2150(b)

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