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Web the goal of the new rule is to help facilitate effective oversight of such accounts by member firms. Please complete this form if you are associated with a financial industry regulatory authority (finra) or. Web a 3210 letter—formerly known as a 407 letter—refers to the written permission that an employer gives for. Web finra rule 3210 (c) states, “an.
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Web in 2015, finra adopted rule 3210 in the consolidated finra rulebook to replace nasd rule 3050, nyse rules 407 and 407a. Web the goal of the new rule is to help facilitate effective oversight of such accounts by member firms. Web finra rule 3210 requires associated persons to obtain the prior written consent of their employer firm before opening or. Web requires notification and consent.
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