- Section 3301 does not apply in respect to an account maintained at a Dealer Member who is a carrying broker for that account or who only provides trade execution, clearing, settlement or custody services or a combination of these services to another Dealer Member, portfolio manager, exempt market dealer or their respective clients, for that account.
- Section 3302 does not apply in respect to:
- an order execution only account,
- a direct electronic access account, or
- an account maintained at a dealer member who is a carrying broker for that account or who only provides trade execution, clearing, settlement or custody services or a combination of these services to another dealer member, portfolio manager, exempt market dealer or their respective clients, for that account.
3304. ‐ 3399. Reserved.
There is no history log for this rule.
There is no history log for this rule.