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Rule 404. Individual Members Not to Carry Accounts

This rule is no longer applicable effective November 11, 2008.

No member organization shall carry accounts or hold securities for customers without receiving the prior approval of the Exchange. No member, doing business as an individual, shall carry accounts for customers, except as provided in Rule 311(h) [¶2311].

Amendment.
September 17, 1970;
October 7, 1982.
Deleted by SR-FINRA-2008-036 eff. Nov. 11, 2008.

Selected Notice: 08-64.

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