Accounts of Associated Persons. In each case in which a Customer is an employee or otherwise associated with an NASD member, Correspondent shall be responsible for notifying such member in accordance with the provisions of Article III, Section 28 of the NASD Rules of Fair Practice.
Accounts of Associated Persons. Correspondent will not accept Accounts for any persons that come within the express provisions of Rule 3050 of FINRA’s NASD Conduct Rules unless Correspondent has complied with the provisions of said Rule and, if applicable, provided evidence of employer approval as required by the Rule.
Accounts of Associated Persons. Correspondent will not accept Accounts for any persons that come within the express provisions of Art. III, Sec. 28 of the NASD Rules of Fair Practice unless Correspondent has complied with the provisions of said Rule and, if applicable, provided evidence of employer approval as required by said Rule. Proprietary and Confidential
Accounts of Associated Persons. In each case in which a Customer is an employee or otherwise associated with an NASD member, CLAY shall be responsible for notifying such member in accordance with the provisions of XxXx 3050 of the Conduct RuIes of the NASD.
Accounts of Associated Persons. In each case in which a Customer is an employee or otherwise associated with an NASD member, ALEX shall be responsible for notifying such member in accordance with the provisions of Rule 3050 of the Conduct Rules of the NASD.
