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

4322. Call loan segregation deficiency

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Series 4000: Dealer Member Financial and Operational Rules
    Rule
    1. A Dealer Member that determines it has a call loan segregation deficiency must recall the securities within the business day following the day it determines the deficiency exists.
    Guidance/Notices
    History

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    Disciplinary History
    There is no history log for this rule.
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      4301. Introduction
      4310. Definitions
      4311. Introduction
      4312. Fully paid and excess margin securities
      4313. Restricted and non-negotiable securities
      4314. Segregation of client securities
      4315. Steps for bulk segregation calculation
      4316. Net loan value and market value of securities in a client’s account
      4317. Calculating the number of client securities to be segregated in bulk
      4318. Determining securities to comply with segregation requirements
      4319. Frequency and review of bulk segregation calculation
      4320. General restrictions
      4321. Correcting segregation deficiencies
      4323. Securities loan segregation deficiency
      4324. Inventory or trading account short position segregation deficiency
      4325. Client declared short sales segregation deficiency
      4326. Fails – client or other Dealer Members
      4327. General
      4328. Records of segregated securities
      4329. Twice-weekly report of items requiring segregation
      4330. Reporting segregation deficiency
      4331. Authorized employees to move securities
      4332. Daily supervisory review of segregation report
      4340. Introduction
      4341. Definitions
      4342. Hold securities in an acceptable securities location
      4343. Timely deposit
      4344. Acceptable internal storage location
      4345. Acceptable internal storage location requirements
      4346. Acceptable transfer locations
      4347. Securities not under a Dealer Member’s physical possession 
      4348. Entities that may be external acceptable securities locations
      4349. Approval of foreign institutions and foreign securities dealers
      4350. Application to IIROC for approval of foreign institutions and foreign securities dealers
      4351. Annual approval of foreign institutions and foreign securities dealers as acceptable securities locations
      4352. Obtaining a client waiver when an external acceptable securities location is unavailable
      4353. Agreement with each external securities location
      4354. Bare trustee custodial agreement
      4355. Securities in transit
      4356. Confirmations from external acceptable securities locations
      4357. Confirmations from transfer locations in Canada
      4358. Confirmations from transfer locations in the United States
      4359. Confirmations from transfer locations outside Canada and the United States
      4360. Confirmations of stock dividends receivable and stock splits
      4361. Reconcile records for mutual funds and evidences of deposit
      4362. Acceptable securities location
      4363. Margin charges – non-acceptable securities location
      4364. Non-acceptable internal storage and non-acceptable securities location
      4365. No confirmation from securities location
      4366. No written custodial agreement
      4367. Records — reconciliation
      4368. Difference accounts
      4380. Introduction
      4381. Definitions
      4382. Dealer Member’s use of client free credit balances
      4383. Notation on client account statements
      4384. Calculating usable free credit balances
      4385. Weekly calculation
      4386. Daily compliance review

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