3812. Secondary or subsidiary records

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    1. A Dealer Member must maintain the following ledgers (or other records):

      1. securities in transfer

      2. dividends and interest received,

      3. securities borrowed and securities loaned,

      4. monies borrowed and monies loaned (together with a record of the collateral and any substitutions in such collateral),

      5. securities failed to receive and failed to deliver, and

      6. money, securities and property received to margin, guarantee or secure the trades or contracts of clients, and all funds accruing to clients, which must be segregated for the benefit of clients under any applicable laws.

    There is no history log for this rule.

    There is no history log for this rule.