SIE Overview of the Regulatory Framework Practice Question 12

Correct Answer: D

Explanation:

D: Choice D is correct because the information is the property of the issuer, and the member firm should only use it for the stated service the member is providing, unless the issuer directs otherwise. Choices A, B, and C are incorrect because FINRA Rule 2060 – Use of Information Obtained in Fiduciary Capacity does not prohibit a firm assisting an issuing corporation from fulfilling normal duties assigned by the issuer, which could include sending marketing information about the issuer's public offer, or other business correspondence, to the customers, and correcting customer records.