Rule A Dealer Member must maintain a record of all margin calls whether such calls are made in writing, by telephone or other means of communication. Guidance/Notices 10/14/21 Content of Books and Records Type: Rules Notice Subtype: Guidance Note 10/14/21 Review of Advertisements, Sales Literature and Correspondence Type: Rules Notice Subtype: Guidance Note 10/14/21 Service arrangements between Dealer Members and Portfolio Managers Type: Rules Notice Subtype: Guidance Note 10/14/21 Average price accounts – margin requirements Type: Rules Notice Subtype: Guidance Note 10/14/21 Processing of Segregated Fund Contracts Type: Rules Notice Subtype: Guidance Note 10/14/21 Consolidated statements Type: Rules Notice Subtype: Guidance Note 10/14/21 Off-book transactions Type: Rules Notice Subtype: Guidance Note 10/14/21 Managing Conflicts of Interest arising from Soliciting Dealer Arrangements Type: Rules Notice Subtype: Guidance Note History There is no history log for this rule. Disciplinary History There is no history log for this rule. Jump to another section in Rule 3800 3801. Introduction 3802. Definitions 3803. General requirements for record retention periods 3804. General requirements to maintain records 3805. Trade blotters (records of original entry) 3806. General ledger of accounts 3807. Itemized client ledger accounts 3808. Client account statements 3809. Report on client positions held outside of the Dealer Member 3810. Performance report 3811. Fee/charge report 3812. Secondary or subsidiary records 3813. Securities record 3814. Commodity record 3815. Memoranda of orders 3816. Trade confirmations 3817. Puts, calls and other options 3819. Account transfer records 3835. Option of earlier date 3845. Timing of the sending of documents to clients
10/14/21 Review of Advertisements, Sales Literature and Correspondence Type: Rules Notice Subtype: Guidance Note
10/14/21 Service arrangements between Dealer Members and Portfolio Managers Type: Rules Notice Subtype: Guidance Note
10/14/21 Managing Conflicts of Interest arising from Soliciting Dealer Arrangements Type: Rules Notice Subtype: Guidance Note