4301. Introduction

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    1. Rule 4300 sets out the following Dealer Member requirements relating to the protection of client assets:

    2. Part A - Segregation and related internal control requirements:

      1. Part A.1 - General segregation requirements
        [sections 4311 through 4314]

        Part A.2 - Bulk segregation calculation
        [sections 4315 through 4319]

        Part A.3 - Security usage restrictions and correcting segregation deficiencies
        [sections 4320 through 4326]

        Part A.4 - Minimum segregation policies and procedures
        [sections 4327 through 4332]

    3. Part B - Custody and related internal control requirements:

      1. Part B.1 - General custody requirements
        [sections 4340 through 4343]

        Part B.2 - Acceptable securities locations
        [sections 4344 through 4352]

        Part B.3 - Written custodial agreement requirement
        [sections 4353 and 4354]

        Part B.4 - Confirmation and reconciliation requirements
        [sections 4355 through 4361]

        Part B.5 - Margin requirements
        [sections 4362 through 4368]

    4. Part C - Client free credit balance requirements
      [sections 4380 through 4386]

    4302. - 4309.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.