Series 14: 3.1.2.1.2. Changes In Account Name Or Designation

3.1.2.1.2. Changes in Account Name or Designation

Before any customer order is executed, broker-dealers must place the name of the account on the order form. No change in the account name may be made unless it has been authorized by a qualified and registered principal. The principal must, prior to giving her approval of the change, be personally informed of its essential facts and indicate her written approval of th