ProhibitedPractices

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September 30, 2024 6 min read SIE Series
Master Securities Compliance: Avoid Improper Use of Assets
SIEExam CustomerAssets RegulatoryCompliance SecuritiesIndustry ProhibitedPractices
Explore the rules against borrowing/lending from customers, necessary approvals, and adhere to securities compliance for the efficient management of customer assets.
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