Series 24: Outside Member Transactions

Taken from our Series 24 Online Guide

Outside Member Transactions

Employees of member firms may open investment accounts at other member firms, provided that they notify both the employer member firm and the other, executing member firm.

The executing member firm in turn has the responsibility to notify the employer member firm in writing that it has opened an account before executing any transactions, and it must notify the employee that it will be providin

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