Rule 3210 - disclosing your trading account to your firm

Discussion in 'Chit Chat' started by deltaf0rce, May 14, 2021.

  1. deltaf0rce

    deltaf0rce

    Does anyone know how policeable this rule is for a firm? If you had your wife open an account and used a different address on the statement, for instance. Some firms have outrageous PA policy.
     
  2. newwurldmn

    newwurldmn

    you may be fired and if you are in certain jobs, it might hit your U4.
     
  3. deltaf0rce

    deltaf0rce

    True. But can they actually find the account?
     
  4. newwurldmn

    newwurldmn

    they might if it’s a US brokerage.

    It happend to my sister.

    question really is: is it worth the risk?
     
  5. Dude don't be stupid. Don't do it, think long term in life.