Series 26: Nontransferable Assets

Taken from our Series 26 Online Guide

Nontransferable Assets

If the customer’s account includes any nontransferable assets, the carrying party must request further instructions from the customer as to how to dispose of the assets. The request must be in writing and done prior to or at the time of validation. The customer must decide between (1) liquidating the assets, (2) retaining them with the carrying party, (3) transferring them to the customer, or (4) transferring them to th

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