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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.
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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.
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An authorized employee or department must have clear responsibility for organizing and handling each offer.
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A Dealer Member must clearly define procedures to balance positions daily and to physically control securities.
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A Dealer Member must regularly reconcile and review suspense accounts involving offers and splits.
There is no history log for this rule.
There is no history log for this rule.