Nasd Rule 3050 PDF 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.

Form NameNasd Rule 3050
Form Length1 pages
Fillable fields13
Avg. time to fill out2 min 51 sec
Other namesnasd rule 3050, rule 407 letter template, rules of shanghai rummy card game, shang hai rummy printable rules

Form Preview Example

Internal use only

Account No:________________________

Compliance Review:_________________

Added to Records:___________________



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




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




Company Phone

Our firm requires duplicate confirmation? Yes



Our firm requires duplicate statements? Yes








Signature of Compliance Officer





Printed Name of Compliance Officer




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

T:801.320.9606 F: 801.320.9610 Member FINRA/SIPC

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