Important Notice: Our web hosting provider recently started charging us for additional visits, which was unexpected. In response, we're seeking donations. Depending on the situation, we may explore different monetization options for our Community and Expert Contributors. It's crucial to provide more returns for their expertise and offer more Expert Validated Answers or AI Validated Answers. Learn more about our hosting issue here.

Does customer account activity for the purposes of the producing manager provisions of Rule 3012 include stock lending or prime brokerage activity?

0
10

A. No. However, such activities remain subject to the general supervisory requirements of Rule 3010.

What is your question?

*Sadly, we had to bring back ads too. Hopefully more targeted.

Experts123