Series 7: 3.6.28 Rule G-28—Transactions With Other Broker-Dealers

Taken from our Series 7 Top-off Online Guide

3.6.28 Rule G-28—Transactions with Other Broker-Dealers

Brokers or dealers may not open a municipal securities account in which transactions are made for a customer who is employed by another broker-dealer, unless the customer first gives written notice to her own employer. With each transaction for such an account, the broker or dealer must simultaneously deliver a duplicate copy of each customer confirmation to her employer.

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