3946. Additional supervisory responsibilities

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    1. In addition to transactional activity, the Dealer Member’s policies and procedures must specifically address identifying, dealing with and informing the appropriate Supervisors of other client related matters, including: 

      1. client complaints, 

      2. cash account violations,

      3. transfers of funds and securities between unrelated accounts or between non‑client accounts and client accounts or deposits from non‑client accounts to client accounts, and

      4. trading while the account is under margined.

    There is no history log for this rule.

    There is no history log for this rule.