Series 28: Use Of Proprietary Information

Taken from our Series 28 Online Guide

Use of Proprietary Information

When broker-dealers act in a fiduciary capacity, they often receive access to confidential, nonpublic information about the ownership of their customers’ securities. Broker-dealers may not use this information for financial gain or to solicit sales of securities, except with the issuer’s consent.

FINRA Rule 2060

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Series 28: Use Of Proprietary Information

Taken from our Series 28 Online Guide

Use of Proprietary Information

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