Series 3: 7.3.2.6. Transfer Of Customer Accounts

Taken from our Series 3 Online Guide

7.3.2.6. Transfer of Customer Accounts

When a customer wishes to transfer an account from one NFA member firm to another, the customer must complete and sign an instruction to his current account holder, the carrying member. The instruction must contain the customer’s name, address, and account number, and the name and address of the new account holder, called the receiving member. Within

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