Proposed Rule
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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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