Transcription of CUSTOMER PROTECTION - finra.org
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CUSTOMER PROTECTION - finra.org
2001 2014 Financial Industry Regulatory Authority, Inc. CUSTOMER PROTECTION RESERVES AND CUSTODY OF SECURITIES SEA Rule 15c3-3 (a) DEFINITIONS For the purpose of this section: (1) The term CUSTOMER shall mean any person from whom or on whose behalf a broker or dealer has received or acquired or holds funds or securities for the account of that person. The term shall not include a broker or dealer, a municipal securities dealer, or a government securities broker or government securities dealer.
Note: Pursuant to SEA Rule 15c3- 3(a)(16), adopted under SEA Release No.70072 (July 30, 2013), certain previous classifications under “noncustomer” are now defined as “PAB -
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