Series 24: NASD 2330 – Customers’ Securities Or Funds

Taken from our Series 24 Online Guide

NASD 2330 – Customers’ Securities or Funds

A firm cannot lend a customer’s securities to itself or others without first obtaining the customer’s written authorization. Customer accounts with fully paid or excess margin securities must be segregated in one of the following ways:

• Physical segregation of securities with a sepa

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