-
Rule 4400 sets out the following Dealer Member requirements relating to the protection of client assets:
Part A - Safekeeping requirements
[sections 4402 through 4407]Part B - Internal controls requirements for safeguarding cash and securities
[sections 4420 through 4433]Part C - Insurance requirements
[sections 4450 through 4468]
There is no history log for this rule.
There is no history log for this rule.