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A Dealer Member must maintain blotters or other records of original entry by itemizing daily, the following:
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all purchases and sales of securities,
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all receipts and deliveries of securities (including certificate numbers),
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all trades in futures contracts and futures contract options,
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all receipts and disbursements of cash, and
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all other debits and credits.
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The blotters or records of original entry must contain, at a minimum, the following:
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in the case of trades in securities:
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the name, class and designation of securities,
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the number, value or amount of securities and the unit and aggregate purchase or sale price (if any),
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the name or other designation of the person from whom the securities were purchased or received or to whom they were sold or delivered,
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the trade dates, and
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the applicable account in which each transaction was effected,
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in the case of trades in futures contracts:
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the commodity and quantity bought or sold,
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the delivery month and year,
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the price at which the contract was entered into,
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the futures exchange,
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the name of the dealer if any, used by the Dealer Member as its agent to effect the trade,
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the trade dates,
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the applicable account in which each transaction was effected, and
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whether the transactions are opening or closing transactions (where required by the marketplace), and
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in the case of trades in futures contract options:
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the type and number,
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the premium,
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the futures contract that is the subject of the futures contract option,
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the delivery month and year of the futures contract that is the subject of the futures contract option,
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the declaration date,
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the striking price,
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the futures exchange,
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the name of the dealer, if any, used by the Dealer Member as its agent to effect the trade,
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the trade dates,
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the applicable account in which each transaction was effected, and
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whether the transactions are opening or closing transactions (where required by the marketplace).
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There is no history log for this rule.