Series 28: (k)(2)(i)-Exempt Carrying Firms

Taken from our Series 28 Online Guide

(k)(2)(i)-Exempt Carrying Firms

A (k)(2)(i) exemption refers to Section (k)(2)(i) in the customer protection rule (see next chapter). A (k)(2)(i)-exempt firm does not carry margin accounts. It must promptly transmit all customer funds and securities received (by noon of the following business day), and it cannot otherwise hold funds or securities of c

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