Hello all, I'm confused as to FINRA rule 3210 relating to opening accounts with other broker-dealers/financial institutions. If a full-time analyst at a BB wants to open an IRA, do they have to provide their firm with prior written notification and receive approval? What's the process for that? Thanks.
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Hi Prospect in IB-M&A, whoops, looks like nobody chimed in here.... maybe one of these discussions below is relevant:
More suggestions...
I hope those threads give you a bit more insight.
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