View Whole SectionText only Print Print Manager Link
Previous Next

Rule 409 Statements of Accounts to Customers

This rule is no longer applicable.

(a)
/01 Applicability

Compliance with Rule 409(a) and the accuracy of statements of accounts thereunder is the responsibility of the member organization carrying the customer account for which the statement is required, unless such responsibility has been allocated to a non-member registered broker-dealer carrying organization pursuant to an Exchange approved agreement under Rule 382.

Previous Next