Series 53: 3.1.3.3. Limits On Accounts Of Employees Of Other Municipal Securities Dealers

Taken from our Series 53 Online Guide

3.1.3.3. Limits on Accounts of Employees of Other Municipal Securities Dealers

Municipal securities dealers are not permitted to open or maintain municipal securities accounts in which transactions are made for a customer who is employed by another broker-dealer unless they first give written notice to the customer’s firm. Thus, prior written notice must be given, but prior approval from the customer’s firm is not necessary.

This rule also applies to customers who

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