Question for outside brokerage accounts disclosure as intern
I'm in an internship at a member firm and my firm is asking for me to list my brokerage accounts within 30 days to them. If I have closed accounts during the internship (so therefore no longer have an active account) do I still need to disclose it? Or is that only a reference to active trading accounts. Right now I don't have any trading accounts because I used what I had towards student loans. Thank you. (Context: not registered and not in trading role, but at FINRA member firm. I think the request is because of FINRA rule 3210).
Hey Qwerty1776, sorry about the delay, but are any of these useful:
Fingers crossed that one of those helps you.
It compliance asks you to do something you do it. If you think your case if a grey area you ask compliance right away. Compliance rules are those things you always err on the side of caution with... always.
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