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.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Webull Corp), Fully Disclosed Clearing Agreement (Webull Corp)
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 the NASD's 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.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Rush Financial Technologies Inc), Fully Disclosed Clearing Agreement (Empire Financial Holding Co)
