3813. Securities record

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    1. A Dealer Member must maintain a securities record or a ledger, for each security as of the trade or settlement dates, of all long and short positions (including securities in safekeeping) carried for the Dealer Member's account or for the account of clients.

    2. The securities record or ledger must contain the following:

      1. the location of all securities long and the offsetting position to all securities short, and

      2. the name or designation of the account in which each position is carried.

    There is no history log for this rule.

    There is no history log for this rule.