Contracts or written agreements between the parties. Partnership or joint venture agreements. Annual reports and financial statements. Authorizations for transferring accounts or positions from one FCM to another. Records of security or guarantee deposits made by one party with or for the benefit of another party.
Customer equity runs.
Registration applications, biographies, resumes or similar documents showing employment history and educational background of the parties. Employee personnel files, including performance evaluations. Employee handbooks, including amendments. The index to a party's procedures manual. If the dispute involves a customer account, copies of the customer's account opening documents and forms, monthly activity statements, and daily confirmation statements.