PART B.4 - CONFIRMATION AND RECONCILIATION REQUIREMENTS

4355. Securities in transit

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    1. If securities are in transit between internal storage locations:

      1. for which there are no adequate internal controls maintained, or

      2. for more than five business days,

    2. those securities are not considered to be under the Dealer Members control or physical possession for purposes of good segregation.

    There is no history log for this rule.