Series 26: Securities Record (also Called The Stock Record)

Taken from our Series 26 Online Guide

Securities Record (also called the Stock Record)

A securities record provides information on the owner and physical location of every stock held by the firm. It also includes the position (long or short) that each customer and the firm holds in a security.

SEA Rules 17a-3(1–3, 5) and 17a-4(a)

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