Trade Error Report and Resolution
Complete one report for each use of the trade-error account. Submitting emails a PDF of the report to Compliance and downloads a copy for your file.
Purpose. The trade-error account may be used only for bona fide error correction. It may not be used for proprietary trading, speculation, parking securities, delaying loss recognition, or netting unrelated errors.
Positions and cash in the trade-error account must be resolved as promptly as reasonably practicable.