PART B.4 - CONFIRMATION AND RECONCILIATION REQUIREMENTS

4356. Confirmations from external acceptable securities locations

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    1. A Dealer Member must receive a positive confirmation of all securities positions annually at its fiscal year‑end audit date from each external acceptable securities location.

    2. If a Dealer Member does not receive a positive fiscal year end audit confirmation of a securities position from an external acceptable securities location, then the Dealer Member must transfer the position to its difference account.

    There is no history log for this rule.

    There is no history log for this rule.