2358. Maintenance of Records
The record-keeping provisions of Rule 2360(b)(17)(B) shall be applicable to customer accounts approved to trade index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
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Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009. Adopted by SR-NASD-95-37 eff. Sept. 28, 1995. Selected Notices: 95-82, 08-57, 08-78. |
- Regulatory Notice 08-78December 15, 2008