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3001RECORDS TO BE MADE BY CERTAIN EXCHANGE MEMBERS,
BROKERS AND DEALERS
SEA Rule 17a3(a)
Every member of a national securities exchange who transacts a business in
securities directly with others
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What is records to be made?
Records to be made are detailed documentation of transactions or activities that need to be recorded for legal or regulatory purposes.
Who is required to file records to be made?
All individuals, businesses, or organizations involved in the specific transactions or activities are required to file records to be made.
How to fill out records to be made?
Records to be made can be filled out by providing accurate information about the transactions or activities, including dates, details, and any relevant supporting documents.
What is the purpose of records to be made?
The purpose of records to be made is to ensure transparency, accountability, and compliance with legal or regulatory requirements.
What information must be reported on records to be made?
Information such as transaction details, dates, parties involved, amounts, and any supporting documentation must be reported on records to be made.
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