Series 7: 13.1.3 Restrictions On Sharing Accounts With Customers

Taken from our Series 7 Top-off Online Guide

13.1.3 Restrictions on Sharing 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 the following conditions apply: (1) The associated person obtains prior written consent from both the member firm and the custome

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