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  • Records of Telephone Conversations and Electronic Communications

    • MIR-4.14.2

      In addition to meeting the book-keeping and record-keeping requirements as per the applicable laws, rules and regulations, all members of SROs must maintain records of telephone conversations and electronic communications, including facsimile, email and other instant messaging devices relating to their activities in the securities market, as required by the CBB's rules, regulations and directives, including but not limited to the following activities:

      (a) Receiving client orders;
      (b) Executing client orders;
      (c) Arranging for client orders to be executed;
      (d) Carrying out transactions on behalf of the member of an SRO, or another person in the member of an SRO group, and which are part of the member of an SRO's trading activities, or the trading activities of another person in the member of an SRO group;
      (e) Executing orders that result from decisions by the member of an SRO to deal on behalf of its client;
      (f) Placing orders with other entities for execution that result from decisions by the member of an SRO to deal on behalf of its client.
      Adopted January 2010