Series 6 - Investment Company And Variable Contracts Products Representative Exam
Preview Mode
Which FINRA rule requires an associated person to obtain the prior written consent of her employer before opening an account at another member or financial institution?
Rule 2110
A
Rule 2310
B
Rule 3210
C
Rule 3120
D
Explanations
Rule 3210 requires an associated person to obtain prior written consent from his or her employer when opening an account at another financial institution.