3303. Exemptions from Product Due Diligence and Know‑Your‑Product

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    1. 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.
    2. Section 3302 does not apply in respect to:
      1. an order execution only account,
      2. a direct electronic access account, or
      3. 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.