PART A.1 – GENERAL REQUIREMENTS

2404. Additional conditions that apply to an introducing broker under a Type 1 introducing broker/​carrying broker arrangement

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    1. A Dealer Member that is an introducing broker under a Type 1 introducing broker/carrying broker arrangement with another Dealer Member:

      1. must not enter into any additional introducing broker / carrying broker arrangements with another Dealer Member unless the arrangement is a Type 1 introducing broker/carrying broker arrangement or Type 2 introducing broker/carrying broker arrangement that provides back office services exclusive to trading in futures contracts and futures contract options,
      2. must not continue to self-clear any part of its Dealer Member related activities other than selfclearing trading in futures contracts and futures contracts options, and
      3. must use its carrying broker’s facilities for its principal trading, settlement, and securities custody

    There is no history log for this rule.

    There is no history log for this rule.