Proposed Rule
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996PROPOSED DELETION OF NFA COMPLIANCE RULE 2-8(e)(2)
COMPLIANCE RULES
RULE 2-8. DISCRETIONARY ACCOUNTS.
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(Deletions are placed within brackets)
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Part 2 - RULES GOVERNING THE BUSINESS CONDUCT OF MEMBERS REGISTERED WITH THE COMMISSION
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| (e) | Third-Party Account Controllers. | |
| No member FCM shall accept a customer account, and no Member FCM or IB shall introduce a customer account, over which a third party, not an Associate of such FCM or IB, is to exercise discretion without first obtaining[:(1) A] a copy of such account controller's written trading authorization or a written acknowledgment from the customer that such authorization has been given. [; and | ||
| (2) | An acknowledgment from the customer that the customer has received a disclosure document from the account controller, or a written statement from the account controller explaining why the account controller is not required to provide a disclosure document to the customer.]
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