§ 240.17a-9T Records to be made and retained by certain exchange members, brokers and dealers.  


Latest version.
  • This section applies to every member, broker or dealer registered pursuant to Section 15 of the Act, (15 U.S.C. 78o), that is required to maintain, as of December 29, December 30 and December 31, 1999, minimum net capital of $250,000 pursuant to §240.15c3-1(a)(2)(i).

    (a) You must make before January 1, 2000, for each of December 29, December 30 and December 31, 1999, separate copies of the blotters pursuant to §240.17a-3(a)(1).

    (b) You must make before January 1, 2000, as of the close of business for each of December 29, December 30 and December 31, 1999, a separate copy of the securities record or ledger pursuant to §240.17a-3(a)(5).

    (c) You must preserve these records for a period of not less than one year.

    (d) The provisions of §240.17a-4(i) shall apply as if part of this §240.17a-9T.

    (e) You may preserve these records in any format that is acceptable and in compliance with the conditions described in §240.17a-4(f).

    (f) You must furnish promptly to a representative of the Commission such legible, true and complete copies of those records, as may be requested.

    (g) This temporary section will expire on July 1, 2001.

    [64 FR 42029, Aug. 3, 1999]