3805. Trade blotters (records of original entry) 

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    1. A Dealer Member must maintain blotters or other records of original entry by itemizing daily, the following:

      1. all purchases and sales of securities,

      2. all receipts and deliveries of securities (including certificate numbers),

      3. all trades in futures contracts and futures contract options,

      4. all receipts and disbursements of cash, and

      5. all other debits and credits.

    2. The blotters or records of original entry must contain, at a minimum, the following:

      1. in the case of trades in securities:

        1. the name, class and designation of securities,

        2. the number, value or amount of securities and the unit and aggregate purchase or sale price (if any),

        3. the name or other designation of the person from whom the securities were purchased or received or to whom they were sold or delivered,

        4. the trade dates, and

        5. the applicable account in which each transaction was effected, 

      2. in the case of trades in futures contracts:

        1. the commodity and quantity bought or sold,

        2. the delivery month and year,

        3. the price at which the contract was entered into,

        4. the commodity futures exchange,

        5. the name of the dealer if any, used by the Dealer Member as its agent to effect the trade,

        6. the trade dates,

        7. the applicable account in which each transaction was effected, and

        8. whether the transactions are opening or closing transactions (where required by the marketplace), and

      3. in the case of trades in futures contract options:

        1. the type and number,

        2. the premium,

        3. the futures contract that is the subject of the futures contract option,

        4. the delivery month and year of the futures contract that is the subject of the futures contract option,

        5. the declaration date,

        6. the striking price,

        7. the commodity futures exchange,

        8. the name of the dealer, if any, used by the Dealer Member as its agent to effect the trade,

        9. the trade dates,

        10. the applicable account in which each transaction was effected, and

        11. whether the transactions are opening or closing transactions (where required by the marketplace).

    There is no history log for this rule.

    There is no history log for this rule.