Chapter 12 — Operational Requirements
- 12.1 Records
- 12.2 Confidentiality of Customer's Information
-
12.3 Customer Accounts
- 12.3.1 Individual Customer Account
- 12.3.2 Corporate Customer Account
- 12.3.3 Agency Customer Account
- 12.3.4 Joint Customer Account
- 12.3.5 Approval of Customer Accounts
- 12.3.6 Risk Acknowledgement Statement
- 12.3.7 Separate Trading Accounts and Account Designation
- 12.3.8
- 12.3.9 [Rule has been deleted.]
- 12.3A Customer Education
- 12.4 Trading Authority
- 12.5 Brokerages and Charges
- 12.6 Contract Notes
- 12.7 Statement of Account to Customers
- 12.8 Amendment of Contract
- 12.9 Communication with Third Parties
- 12.10 Payment to Customers
- 12.10A Customer's Money and Assets
- 12.11 Customer's and Remisier's Money
- 12.12 Customer's and Remisier's Assets
- 12.13 Reporting of Delinquent Accounts
- 12.14 Separation of Front Office and Back Office Functions
- 12.15 Stock Account
- 12.16 [Rule has been deleted.]
- 12.17 Trading by Employees and Agents
- 12.18 Compliance Review
- 12.18A Broker-linked balances
- 12.19 Advertising
- 12.20 Soft Dollar Commissions
- 12.21 Use of Office Premises
- 12.22 Use of Prescribed Forms
- 12.23 Application of Chapter 12