Series 27: Designation Of Accounts

Taken from our Series 27 Online Guide

Designation of Accounts

Member firms generally may only carry an account on their books in the name of the customer. However, an account may be designated by a number or symbol, provided the member has on file a written statement signed by the customer attesting to the ownership of that account.

FINRA Rule 3250

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Series 27: Designation Of Accounts

Taken from our Series 27 Online Guide

Designation of Accounts

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