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SEC Rule 15a-6: Difference between revisions
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*Books and records: maintaining all books and records; | *Books and records: maintaining all books and records; | ||
*Settlement of transactions: delivering and receiving the assets and settlement proceeds. | *Settlement of transactions: delivering and receiving the assets and settlement proceeds. | ||
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:(c) Receive, deliver and safeguard funds and securities on behalf of the customer; | :(c) Receive, deliver and safeguard funds and securities on behalf of the customer; | ||
:(d) Maintain required books and records related to the transaction; | :(d) Maintain required books and records related to the transaction; | ||
__NOTOC__ | |||