2354. Discretionary Accounts
Insofar as a member or person associated with a member exercises discretion to trade in index warrants, currency index warrants, or currency warrants in a customer's account, such account shall be subject to the provisions of Rule 2360(b)(18). The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
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Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009. Adopted by SR-NASD-95-37 eff. Sept. 28, 1995. Selected Notices: 95-82, 08-57, 08-78. |
- Regulatory Notice 08-78December 15, 2008