Series 7: 11.3.6. Forwarding Securities Information And Proxy Materials

Taken from our Series 7 Online Guide

11.3.6. Forwarding Securities Information and Proxy Materials

Member firms that hold title to a security on behalf of a beneficial owner are required to forward all information received from the issuer of that security (such as annual reports and information statements) to the beneficial owner or the beneficial owner’s investment adviser. A b

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