Tag Archives: FINRA Rule 3210

FINRA Rule 3210 – Accounts at Other Broker-­Dealers

FlNRA Rule 3210 – Accounts at other Broker-Dealers and Financial Institutions (the “Rule”) was approved by the SEC in 2016 and became effective April 3, 2017.  As approved, the new rule change helps facilitate effective oversight of accounts opened or established by associated persons at firms other than the firm at which they are employed; … Continue reading FINRA Rule 3210 – Accounts at Other Broker-­Dealers

New FINRA Rule 3210 – Accounts At Other Broker-Dealers

The SEC has approved new FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) which is a consolidated rule governing accounts opened or established by associated persons at firms other than the firm at which they are employed. The goal of the new rule is to help facilitate effective oversight of such accounts by member firms.  New … Continue reading New FINRA Rule 3210 – Accounts At Other Broker-Dealers