PART B.4 - CONFIRMATION AND RECONCILIATION REQUIREMENTS

4356. Confirmations from external acceptable securities locations

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    1. A Dealer Member must receive a positive confirmation of all securities positions annually at its fiscal year‑end audit date from each external acceptable securities location.

    2. If a Dealer Member does not receive a positive fiscal year end audit confirmation of a securities position from an external acceptable securities location, then the Dealer Member must transfer the position to its difference account.

    There is no history log for this rule.