Australian Capital Territory Numbered Acts Australian Capital Territory Numbered Acts(1) Immediately after a sale or purchase of, or a transaction that transfers, marketable securities that is dutiable under this Chapter, or that is exempt from duty under this Chapter, being a sale, purchase or transaction by a broker on behalf of a registered independent options trader, futures broker or warrant-issuer in that capacity, the options trader, futures broker or warrant-issuer shall make a record of the sale, purchase or transaction that shows the following:
(a) its date;
(b) the name of the broker who effected the sale, purchase or transaction;
(c) the quantity and full description of the marketable securities;
(d) the selling or purchase price of each security and the total price of all the securities sold or purchased;
(e) in the case of a sale, the date on which the marketable securities were purchased;
(f) in the case of a purchase, the date on which the marketable securities were sold;
(g) in the case of a transaction, the date on which the transaction took place.
(2) The record shall be kept separately from any record required to be kept by the registered independent options trader, futures broker or warrant-issuer in any other capacity.
Penalty:
(a) in the case of a natural person—20 penalty units;
(b) in the case of a body corporate—100 penalty units.