4401. Introduction

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    1. Rule 4400 sets out the following Dealer Member requirements relating to the protection of client assets:

      Part A - Safekeeping requirements
      [sections 4402 through 4407]

      Part B  - Internal controls requirements for safeguarding cash and securities
      [sections 4420 through 4433]

      Part C - Insurance requirements
      [sections 4450 through 4468]

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