Series 24: 2.2.1.6.3. Outside Accounts Of Associated Persons

Taken from our Series 24 Online Guide

2.2.1.6.3. Outside Accounts of 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 firm. The employee must also notify the other financial institution of their association with the employing firm before opening the account.

The executing firm, in turn, mus

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