FRANKO, THOMAS A.; RATNER, STEPHEN L.; HALL, CAROLINE K. - In: Journal of Investment Compliance 2 (2002) 3, pp. 52-54
Rule 382 of the New York Stock Exchange for many years has governed the relationship between clearing and introducing brokers with a focus on responsibility to the client. This article surveys the subtle and not so subtle changes impacting these relationships, with a view toward future trends.