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Tag: Transfer Information Record

Customer Account Transfer

Customer Account Transfer

Posted on May 13, 2022May 13, 2022 by admin

From time to time, customers may look to move their account to a new brokerage firm for a wide variety of reasons, such as better or wider variety of services or lower costs. It may also be that the customer has learned the broker is under investigation by regulators or has apparently committed rule violations in connection with the account. Whatever the reason, your firm must respect customer account transfer instructions. Automated Customer Account Transfer Service (ACATS) This can be accomplished by using the Automated Customer Account Transfer Service or ACATS for short. The receiving member firm will initiate the Read more about Customer Account Transfer[…]

Posted in Broker-Dealer, FINRA, Rules and Regulations Tagged ACATS, Automated Customer Account Transfer Service, Broker-Dealer, Compliance, Customer Account Transfer, Fail-To-Deliver, Fail-To-Receive, FINRA, FINRA Rule 11870, Rules and Regulations, Transfer Information Record

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