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4430. Re-organization

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Series 4000: Dealer Member Financial and Operational Rules
    Rule

    1. A Dealer Member must have a formal procedure to identify and record the timing and terms of all issuances such as forthcoming rights and offers.

    2. A Dealer Member must have a clear method of communicating upcoming re‑organization activities to the sales force. These include deadlines for submitting special instructions in writing and any special handling procedures required for key dates.

    3. An authorized employee or department must have clear responsibility for organizing and handling each offer.

    4. A Dealer Member must clearly define procedures to balance positions daily and to physically control securities.

    5. A Dealer Member must regularly reconcile and review suspense accounts involving offers and splits.

    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

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    Disciplinary History
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      Jump to another section in Rule 4400
      4401. Introduction
      4402. Introduction
      4403. Written safekeeping agreement
      4404. Securities free from encumbrance
      4405. Procedures to keep securities apart
      4406. Identifying securities held for safekeeping in records
      4407. Release of securities held in safekeeping
      4420. Introduction
      4421. Safeguarding client and Dealer Member cash and securities
      4422. Receipt and delivery of securities
      4423. Restricting access to securities
      4424. Clearing
      4425. Protecting securities
      4426. How to handle security records
      4427. Rules for counting securities
      4428. Moving certificates and securities between branches
      4429. Transferring securities
      4431. Handling dividends and interest
      4432. Reconciling internal accounts
      4433. Cash
      4450. Introduction
      4451. Definitions
      4452. Dealer Member must have insurance
      4453. Qualified insurance carriers
      4454. Foreign insurers
      4455. Mail insurance
      4456. Financial institution bond
      4457. General minimum insurance requirement
      4458. Minimum insurance requirement for certain introducing brokers
      4459. Double aggregate limit
      4460. Calculating minimum insurance requirement and risk adjusted capital provisions
      4461. Correction of insufficient coverage
      4462. Global financial institution bonds
      4463. Notify IIROC of underwriter insurance termination
      4464. When insurance ends due to take-over
      4465. Notify IIROC of claims
      4466. Board of directors review and designation
      4467. Executive review
      4468. Executive prompt action

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