Regulatory Alerts2026-07-07 | Regulatory Notice 26-13Added · Updated
FINRA Regulatory Notice 26-13: Amendment to Rule 3210 Regarding Trump Accounts
FINRA amended Supplementary Material .03 to Rule 3210 to exempt accounts established under Section 530A of the Internal Revenue Code, known as Trump Accounts, from the rule's prior written consent and disclosure requirements. This exception applies to associated persons of member firms who open or maintain these specific retirement accounts at other broker-dealers or financial institutions. The amendment became effective on June 17, 2026.
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