PART A.4 - MINIMUM SEGREGATION POLICIES AND PROCEDURES

4332. Daily supervisory review of segregation report

Or jump to a Series:

    1. A Dealer Member must do a daily supervisory review of the most recent segregation report produced to identify and correct segregation deficiencies.

    2. A Dealer Member must do a supervisory review or adopt and implement other procedures that provide reasonable assurance the segregation report is complete and accurate.

    4333. - 4339.  Reserved.

    There is no history log for this rule.