An Approved Person executes a trade where the Member firm facilitates the transaction between a client and an external marketplace. On the trade confirmation, the Member is required to provide the name of the person or company from, to, or through whom the security was bought or sold. This requirement applies specifically when:

Question

Accepted Answer

Rule 5.4.3 requires that if the Member acts as an agent, they must disclose the name of the person/company through whom the security was bought or sold.

Discussion