BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions

The Broker-Dealer Request to Open Account(s) at Other Broker-Dealers and Financial Institutions is a useful template to satisfy the initial request and notification requirement under FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions). This Request Form should be completed and submitted to broker-dealer firms by registered representatives who are requesting to open a securities account away from their current employer member firm. Members also downloaded Broker-Dealer Notification of Accounts at Other Broker-Dealers and Financial Institutions and Investment Adviser Disclosure of Accounts at Broker-Dealers and Other Financial Institutions.

Version/Update: V.5/July 6, 2020

Total Page Count/Format: 2/.docx

Source/Author(s): Connexien