CUSTOMER AND CORRESPONDENT ACCOUNTS. Responsibility for compliance with the provisions of the NASD's Conduct Rules regarding opening, approving and monitoring Customer accounts shall be allocated between Penson and Correspondent as set forth in this SECTION 2.
Appears in 1 contract
Sources: Fully Disclosed Clearing Agreement (Empire Financial Holding Co)
CUSTOMER AND CORRESPONDENT ACCOUNTS. Responsibility for compliance with the provisions of the NASD's Conduct Rules regarding opening, approving and monitoring Customer accounts shall be allocated between Penson and Correspondent as set forth in this SECTION Section 2.
Appears in 1 contract
Sources: Fully Disclosed Clearing Agreement (Rush Financial Technologies Inc)