Series 14: 5.2.3.1. Prohibition On Guaranteeing Customers Against Loss

Taken from our Series 14 Online Guide

5.2.3.1. 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 with his account in general. This includes offering to reimburse customers for losses.

FINRA Rule 2150(b)

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