PART A.4 - MINIMUM SEGREGATION POLICIES AND PROCEDURES

4328. Records of segregated securities

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    1. Segregated securities must be described as being held in segregation on a Dealer Member’s security position record (or related records) and client ledger and statement of account. This description must be in substance a fair representation of how the securities are being held in segregation at the custodian and therefore, the security box locations of the Dealer Member must have a direct mapping (or relationship) to custody accounts set up at the custodian on behalf of the Dealer Member.

    There is no history log for this rule.