Search

2302. Principal and agent relationships 

Or jump to a Series:

Series 2000: Dealer Member Organization and Individual Approval Rules
    Rule

    1. An individual who conducts securities related business on behalf of a Dealer Member must be an employee (which includes an agent) of the Dealer Member.

    2. A Dealer Member must not allow a corporation or other non-individual entity to conduct securities related business on its behalf.

    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

    There is no history log for this rule.

    Disciplinary History
    There is no history log for this rule.
      Jump to another section in Rule 2300

      Select a Series