PART A.3 - SECURITY USAGE RESTRICTIONS AND CORRECTING SEGREGATION DEFICIENCIES

4320. General restrictions

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    1. A Dealer Member must:

      1. ensure that a segregation deficiency is not knowingly created or increased, and

      2. not deliver securities it holds against payment for the account of any client if those securities are required to satisfy the Dealer Member’s segregation requirements.

    There is no history log for this rule.

    There is no history log for this rule.