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Feb 4, 2013 · 2130. Approval Procedures for Day-Trading Accounts. The Rule Notices. ‹ 2124. Net Transactions with Customers. Up. 2140. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes ›. (a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non ...
Jun 30, 2014 · The 12 suitability factors of SATMR/FINRA Rule 2330 in detail. 1. Age. ... 10. Liquid net worth. After learning the liquid net worth of the annuity applicant, the advisor can compare that figure ...
Jul 13, 2023 · Beginning in April 2015, Coastal mandated that only 35% of a customer’s liquid net worth could be placed in alternative investments and outlawed new alt recommendations or purchases if they ...
Is a member NYSE - FINRA - SIPC and regulated by the US Securities and Exchange Commission and the Commodity Futures Trading Commission. Headquarters: One Pickwick Plaza, Greenwich, CT 06830 USA. Website: www.interactivebrokers.com
Dec 5, 2023 · Liquid net worth = Liquid assets – debts. In this case, liquid assets are all those assets that can be quickly and easily converted into cash (e.g. money in checking/savings accounts, financial ...
May 5, 2008 · Published Date: November 06, 2007. Effective Date: May 5, 2008. On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
Dec 1, 2014 · 2330. Members' Responsibilities Regarding Deferred Variable Annuities. The Rule Notices. 2320. Variable Contracts of an Insurance Company. Up. 2340. Investment Companies ›. (a) General Considerations (1) Application This Rule applies to recommended purchases and exchanges of deferred variable annuities and recommended initial subaccount ...
