PART A.4 - MINIMUM SEGREGATION POLICIES AND PROCEDURES

4328. Records of segregated securities

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    1. Segregated securities must be described as being held in segregation on a Dealer Member’s security position record (or related records) and client ledger and statement of account. This description must be in substance a fair representation of how the securities are being held in segregation at the custodian and therefore, the security box locations of the Dealer Member must have a direct mapping (or relationship) to custody accounts set up at the custodian on behalf of the Dealer Member.

    There is no history log for this rule.

    There is no history log for this rule.