December 31, 2021
- RULE NO. 1 – BUSINESS STRUCTURES AND QUALIFICATIONS
- RULE NO. 2 – BUSINESS CONDUCT
- 2.1 GENERAL
- 2.2 CLIENT ACCOUNTS
- 2.3 CONTROL OR AUTHORITY
- 2.4 REMUNERATION, COMMISSIONS AND FEES
- 2.5 MINIMUM STANDARDS OF SUPERVISION
- 2.6 BORROWING FOR SECURITIES PURCHASES
- 2.7 ADVERTISING AND SALES COMMUNICATIONS
- 2.8 CLIENT COMMUNICATIONS
- 2.9 INTERNAL CONTROLS
- 2.10 POLICIES AND PROCEDURES MANUAL
- 2.11 COMPLAINTS
- 2.12 TRANSFERS OF ACCOUNT
- 2.13 DISCLOSURE OF MFDA MEMBERSHIP
- RULE NO. 3 – FINANCIAL AND OPERATIONS REQUIREMENTS
- RULE NO. 5 – BOOKS, RECORDS & REPORTING
- 5.1 REQUIREMENT FOR RECORDS
- 5.2 STORAGE MEDIUM
- 5.3 CLIENT REPORTING
- (1) Definitions
- 5.3.1 Delivery of Account Statement
- 5.3.2 Content of Account Statement
- 5.3.3 Report on Charges and Other Compensation
- 5.3.4 Performance Report
- 5.3.5 Delivery of Report on Charges and Other Compensation and Performance Report
- 5.3.6 Exempt Market Dealers and Scholarship Plan Dealers – Client Reporting
- 5.4 TRADE CONFIRMATIONS
- 5.5 ACCESS TO BOOKS AND RECORDS
- 5.6 RECORD RETENTION