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  • Records

    • BC-2.8.10

      Investment firm licensees must immediately record the essential elements of all orders that are received.

    • BC-2.8.11

      For the purposes of Rule BC-2.8.10, essential elements of orders received include the particulars of the client and order, time, price of execution, and number of instruments.

    • BC-2.8.12

      Investment firm licensees must record the essential elements of all:

      (a) Orders executed;
      (b) Transactions executed for their own account;
      (c) Non-market price transactions entered into by the investment firm licensee; and
      (d) Orders that have been aggregated with their basis of allocation.
      Amended: January 2007

    • BC-2.8.13

      For purposes of Rule BC-2.8.12, investment firm licensees should include, at the very least, the information provided in Paragraph BC-2.12.9.

    • BC-2.8.14

      Investment firm licensees must make a copy of any confirmation of a transaction or periodic statement provided to a client, and retain it for at least ten years from the date on which it was provided.

      Amended: April 2008