Series 99: 1.2.1.6 Opening Accounts For Associated Persons

Taken from our Series 99 Top-off Online Guide

1.2.1.6 Opening Accounts for Associated Persons

Employees of member firms may not open investment accounts at other member firms or other financial institutions unless they receive prior written consent from their employing member firms. An employee must also notify the other financial institution of her association with the employing firm before opening the account.

The executing firm, in turn, must provide duplicate account statements to the employing member upon written r

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