PART A.1 - GENERAL SEGREGATION REQUIREMENTS

4313. Restricted and non-negotiable securities

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    1. Securities that are restricted, non-negotiable, or that cannot be made fully negotiable solely by signature or guarantee of the Dealer Member are deemed not to be segregated, unless such securities are registered in the name of the client (or name of a person required by the client) on whose behalf they are being held in an acceptable segregation location.

    There is no history log for this rule.

    There is no history log for this rule.