3230. Rules applicable to advisory accounts

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    1. For the purposes of Rule 3200, a Dealer Member that opens an advisory account for a retail client must comply with the requirements in Parts A through C of Rule 3200, and if applicable, Parts E through G of Rule 3200. 
    2. For the purposes of Rule 3200, a Dealer Member that opens an advisory account for an institutional client must:
      1. comply with the requirements in Parts A through C of Rule 3200, and if applicable, Parts E through G of Rule 3200, with the exception of sections 3216 through 3219, and
      2. ensure the sub-account files of an institutional client refer to the documentation contained in the master file to which it is related.

    3231. – 3239. Reserved.

    There is no history log for this rule.

    There is no history log for this rule.