Series 99: 1.2.3.6.4 Changes In Account Name Or Designation

Taken from our Series 99 Top-off Online Guide

1.2.3.6.4 Changes in Account Name or Designation

Before any customer order is executed, broker-dealers must place the name of the account on the order form. No change in the account name may be made, unless it has been authorized by a qualified and registered principal. The principal must, prior to giving her approval of the change, be personally informed of its essential facts and indicate her written approva

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