BD- Broker-Dealer Books & Records Electronic Directory


Regular price $125.00

The Broker-Dealer Books & Records Electronic Directory serves as a useful guide when organizing, mapping and managing a broker-dealer’s electronically stored books & records in accordance with FINRA Rule 4511 and SEC Rule 17a-3.  This Guide also assists broker-dealer firms in formatting and labeling electronic books & records in a file/sub-file directory format to effectively organize records as well as facilitate the production of books and records during a regulatory examination.

Update: August 28, 2017

Total Page Count: 5

Source/Author(s): Connexien