407 Letter Template Details

The Nasd Rule 3050 Form is a detailed questionnaire that must be completed by all members of the securities industry wishing to conduct business with the public. The form covers everything from an individual's background and experience in the securities industry to their investment objectives and strategies. completion of the Nasd Rule 3050 Form is required for all individuals associated with member firms, whether they are registered representatives or not. By requiring firms to complete this form, NASD hopes to ensure that investors are dealing with qualified and ethical professionals.

You'll discover information about the type of form you want to fill out in the table. It will tell you the span of time you will require to complete nasd rule 3050, exactly what parts you will need to fill in, and so on.

QuestionAnswer
Form NameNasd Rule 3050
Form Length1 pages
Fillable?No
Fillable fields0
Avg. time to fill out15 sec
Other namessample 407 letter, rummy rules, 407 letter template, shang hai rummy printable rules

Form Preview Example

Internal use only

Account No:________________________

Compliance Review:_________________

Added to Records:___________________

LETTER OF APPROVAL FOR ACCOUNTS OF AFFILIATED PERSONS

ACCOUNT HOLDER AFFILIATION NOTIFICATION

By my signature below, pursuant to NASD Conduct Rule 3050 and/or NYSE Rule 407, I acknowledge that my employer, or a member of my household’s employer, is a FINRA or Exchange Member Firm and have notified the employer of my intention to open a brokerage account with Cambria Capital, LLC clearing through Legent Clearing, LLC.

______________________________________________

____________________

Employee (Account Holder) Signature

Date

______________________________________________

_____________________

Printed Name

Social Security No.

 

 

Please accept this as authorization to open a brokerage account for the individual listed above.

The aforementioned individual is an employee, or a member of a household of an employee of

__________________________________________________________________

Name of Employer

__________________________________________________________________

Employer Address

__________________________________________________________________

City/State/Zip

__________________________________________________________________

Company Phone

Our firm requires duplicate confirmation? Yes

No

 

Our firm requires duplicate statements? Yes

No

 

Sincerely,

 

 

_____________________________________________

________________________

Signature of Compliance Officer

 

Title

____________________________________________

________________________

Printed Name of Compliance Officer

 

Date

CAMBRIA CAPITAL, LLC

488 E. Winchester St., Suite 200 Salt Lake City, UT 84107

T:801.320.9606 F: 801.320.9610 Member FINRA/SIPC