For updates and guidance related to COVID-19 / Coronavirus, click here.
2845. Discretionary Accounts
This rule is no longer applicable. NASD Rule 2845 has been superseded by FINRA Rule 2354. Please consult the appropriate FINRA Rule.
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 2860(b)(18). The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
|
Adopted by SR-NASD-95-37 eff. Sept. 28, 1995. Selected Notice: 95-82. |