Series 99: Non-objecting Beneficial Owner (NOBO)

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Non-objecting Beneficial Owner (NOBO)...

a security holder who gives permission to a broker-dealer or other financial institution to release the owner’s name and address to the companies that one has invested in. Registering as a NOBO enables the company to contact the beneficial owner about upcoming shareholders meetings and provide other information.

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I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

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