Search results with tag "Sea rule 15c3 3"

SEA Rule 15c3-3 - FINRA

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

  Rules, Finra, 315c, Sea rule 15c3 3