Series 7: 3.6.15 Rule G-15—More Uniform Practices For Confirmation, Clearance, And Settlement

3.6.15  Rule G-15—More Uniform Practices for Confirmation, Clearance, and Settlement

Here, uniform practice rules are further specified, and good delivery is defined in greater detail.

Trade confirmation. At or before the completion of a transaction, each broker-dealer must send the customer a written trade confirmation that states the name, address, and telephone number of the broker-dealer, the customer’s name, the designation of whether the transaction was a purchase or sale, and whether the firm was acting as principal for its own account or as the customer’s