Series 24: 3.4.2.2. Interfering With Customer Account Transfers

Taken from our Series 24 Online Guide

3.4.2.2. Interfering with Customer Account Transfers

FINRA prohibits broker-dealers from interfering with a customer’s account transfer request in cases where the customer’s registered representative has changed employment. In other words, a firm cannot prevent customers from transferring their accounts to another firm because their registered representative has moved to that firm.

FINRA Rule 2140

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