Series 53: 6.3.1.3. Securities Records

Taken from our Series 53 Online Guide

6.3.1.3. Securities Records

Securities records provide information on the owner of every municipal security held by the firm, as well as the security’s physical location, regardless of whether it is held for the firm’s own account or the account of a customer. Securities records include any long or short positions held in any particular security by the customer and the firm.

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