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Be aware of the trading rules of a cash account regarding settlement date. Violation of the trading rules will lead to a Good-Faith Violation and possibly a 90-Day Restriction. "Settlement" refers to the official transfer of the securities to the buyer's will automatically expire after 12 months from the violation date (T/D Date).

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and Reviewing Non-PEAR cont'd. □ From the Detail Reason for delayed transfers over 120 days of the original transaction .. Does the transfer fall into the 120 day Rule? □ b. Is this a 90 days before the scheduled pay cycle end date?

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agree to abide by the terms, conditions, rules and regulations governing the (STP) (To be submitted at least 7 working days before the 1st due date for transfer). To Scheme. Date. D. D. M. M. Y. Y. Upfront commission shall be paid directly by . be submitted at least 7 working days and not more than 90 days before the.

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Such notice shall comply with the requirements as set forth in rule 1-400(D) and any (a) within 90 days of the date of the sending of such notification to the client's last (2) in all other circumstances, not less than 90 days prior to the transfer;.

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