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(a) Futures commission merchants, retail foreign exchange dealers, introducing brokers, and members of designated contract markets or swap execution facilities. (1) Futures commission merchants, retail ...
(a) Each futures commission merchant and each retail foreign exchange dealer shall maintain, as provided in §1.31, a record of all securities and property received ...
Rule 1.37 Customer’s name, address, and occupation recorded; record of guarantor or controller of...
(a) Each futures commission merchant, retail foreign exchange dealer, introducing broker, and member of a contract market shall keep a record in permanent form which ...
Each commodity pool operator registered or required to be registered under the Act must make and keep the following books and records in an accurate, ...
(a) Every volume threshold account controller; person who owns a volume threshold account; reportable sub-account controller; person who owns a reportable sub-account; and trader who ...
(a) Every clearing organization shall keep all records of transactions in paired swaps or swaptions, and methods used to convert paired swaps or swaptions into ...
(a) All books, records and other documents required to be kept by this part shall be kept in accordance with the provisions of §1.31 of ...
(a) A swap execution facility’s program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following ...
(a) If the records required to be maintained and preserved pursuant to the provisions of §§270.31a-1 and 270.31a-2 are prepared or maintained by others on ...
(a) Every registered investment company, and every underwriter, broker, dealer, or investment adviser which is a majority-owned subsidiary of such a company, shall maintain and ...