BD- Broker-Dealer List of Books and Records & Retention Requirements
BD- Broker-Dealer List of Books and Records & Retention Requirements
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The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4. The list also provides a detailed description of each record along with the corresponding retention requirements and specific rule reference.
Version/Update: V.3/June 30, 2020
Total Page Count/Format: 4/.pdf
Source/Author(s): Connexien