Rich text Print
  • 2060. Use of Information Obtained in Fiduciary Capacity

    A member who in the capacity of paying agent, transfer agent, trustee, or in any other similar capacity, has received information as to the ownership of securities, shall under no circumstances make use of such information for the purpose of soliciting purchases, sales or exchanges except at the request and on behalf of the issuer.

    Cross Reference–

    Rule 2150. Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts

    Amended by SR-FINRA-2009-067 eff. Feb. 15, 2010.

    Selected Notice: 09-72.