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PART A - MINIMUM CAPITAL LEVEL AND RELATED REQUIREMENTS
PART B - EARLY WARNING TESTS AND RELATED REQUIREMENTS
PART C - REGULATORY FINANCIAL REPORT FILING REQUIREMENTS
PART D - APPOINTMENT OF AUDITORS AND AUDIT REQUIREMENTS
PART A - FINANCIAL DISCLOSURE TO CLIENTS
PART B - GENERAL INTERNAL CONTROL REQUIREMENTS
PART C - PRICING INTERNAL CONTROL REQUIREMENTS
PART D - CALCULATION OF PRICES ON A YIELD BASIS
PART E - PROFESSIONAL OPINIONS
PART A - SEGREGATION AND RELATED INTERNAL CONTROL REQUIREMENTS
PART A.1 - GENERAL SEGREGATION REQUIREMENTS
PART A.2 - BULK SEGREGATION CALCULATION
PART A.3 - SECURITY USAGE RESTRICTIONS AND CORRECTING SEGREGATION DEFICIENCIES
PART A.4 - MINIMUM SEGREGATION POLICIES AND PROCEDURES
PART B - CUSTODY AND RELATED INTERNAL CONTROL REQUIREMENTS
PART B.1 - GENERAL CUSTODY REQUIREMENTS
PART B.2 - ACCEPTABLE SECURITIES LOCATIONS
PART B.3 - WRITTEN CUSTODIAL AGREEMENT REQUIREMENT
PART B.4 - CONFIRMATION AND RECONCILIATION REQUIREMENTS
PART B.5 - MARGIN REQUIREMENTS
PART C - CLIENT FREE CREDIT BALANCE REQUIREMENTS
PART A - SAFEKEEPING REQUIREMENTS
PART B - INTERNAL CONTROL REQUIREMENTS FOR SAFEGUARDING CASH AND SECURITIES
PART C - INSURANCE REQUIREMENTS
PART A - BUSINESS CONTINUITY PLAN
PART B - GENERAL TRADING AND DELIVERY STANDARDS APPLICABLE TO ALL TRANSACTIONS
PART A - TRADING AND DELIVERY STANDARDS APPLICABLE TO TRANSACTIONS THAT ARE NOT CLEARED AND SETTLED THROUGH A CLEARING CORPORATION.
PART A.1 – FIXED INCOME TRANSACTIONS
PART A.2 – STOCK TRANSACTIONS
PART A.3 - BUY-IN TRANSACTIONS
PART B - ACCOUNT TRANSFERS AND BULK ACCOUNT MOVEMENTS
PART B.1 - ACCOUNT TRANSFERS
PART B.2 - BULK ACCOUNT MOVEMENTS
DERIVATIVES RISK MANAGEMENT