4189. Dealer Member obligations to auditor

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    1. A Dealer Member must fully disclose all material facts and issues about its business and operations that relate to the fairness of the regulatory financial statements, in a representation letter from the Dealer Member’s appropriate Executives to the Dealer Member's auditor.

    2.  A Dealer Member must provide its auditor with unrestricted access to all of the Dealer Members records.

    3. A Dealer Member must not interfere with the audit process, nor conceal, withhold, or destroy any records reasonably required for the audit.

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