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Article 75-5
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When a securities firm accepts orders to trade securities through an omnibus trading account, it shall make trading quotes corresponding to the orders placed by the principals or the mandataries, and shall note the name or symbol of the principal or the mandatary on the order form or the trading order record.
The securities firm shall transmit the itemized allocations of trade price and volume as instructed by the mandatary, and the itemized orders of the principals and mandataries, to this Corporation by 5 p.m. on the trade date.
Operational directions related to omnibus trading accounts will be prescribed by this Corporation.
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