4203. Summary statement of financial position available

Or jump to a Series:

    1. A Dealer Member must provide a summary statement of its financial position, when requested, to any client who has traded in his or her account with the Dealer Member within the past 12 months.

    2. The summary statement of financial position must be as at the Dealer Member’s latest fiscal year‑end date and based on its latest annual audited financial statements.

    3. A Dealer Member must prepare the summary statement of financial position within 75 days of its fiscal year‑end.

    There is no history log for this rule.