Series 52: 8.4.2.2.3. Transactions With Other Broker-Dealers

Taken from our Series 52 Online Guide

8.4.2.2.3. Transactions with Other Broker-Dealers

Broker-dealers who open or maintain municipal securities accounts with customers employed by another broker-dealer must first give written notice to the customer’s firm. Note that prior written notification must be given, but prior approval from the customer’s firm is not necessary.

This required notice also applies where customers are the spouses or minor children of

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