2.14.1
Each Clearing Member shall prepare, maintain and keep current those books and records required by this Rules, the SFA any applicable laws. Such books and records shall be open to inspection and promptly provided to the Clearing House upon request.
Amended on 27 March 200627 March 2006 and 31 December 201331 December 2013.
2.14.2
Each Clearing Member must file any information requested by the Clearing House within the time period specified in the request.
2.14.3
Each Clearing Member shall maintain at all times the ability to provide to the Clearing House in an acceptable form a complete set of equity system reports (including, at a minimum, the equity run, open position listing, day trade listing, cash adjustments listing and margin call and debit equity listing). Such reports shall forthwith be available to the Clearing House upon the Clearing House's request. Where such request is made at or before 12 p.m. on a Business Day (the "Request Date"), the Clearing Member shall report the required information up to and as at the two (2) Business Days immediately before the Request Date, and where such request is made after 12 p.m. on a Business Day, the Clearing Member shall report the required information up to and as at the Business Day immediately before the Request Date.
2.14.3A
Each Clearing Member shall submit to the Clearing House, in the manner as prescribed from time to time:—
Added on 22 September 200622 September 2006.
2.14.3B
A Clearing Member must maintain separate accounts for each person whose account is carried on the books of the Clearing Member.
Added on 26 April 201326 April 2013.
2.14.4
Where a Clearing Member at any time fails to make or keep current the books and records required by the Clearing House it shall notify the Clearing House of such failure on the same day, specifying the relevant books and records, and shall thereafter comply with all orders of the Clearing House.
Violation of this Rule may be a major offence.
Amended on 27 March 200627 March 2006.
2.14.5
Added on 31 December 201331 December 2013.
2.14.6
A Clearing Member who:
Added on 31 December 201331 December 2013 and amended on 1 May 20141 May 2014.