4858. Transfer impediment

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    1. If there is an impediment to the requested transfer of an account asset, the delivering Dealer Member must promptly notify the receiving Dealer Member, identifying the asset and the reason for the inability to deliver.

    2. The receiving Dealer Member must get client instructions or directions concerning the asset, and deliver them to the delivering Dealer Member.

    3. The balance of the client’s assets must be transferred according to Part B of Rule 4800.

    There is no history log for this rule.