BD- Broker-Dealer Books & Records Requirements List

The Broker-Dealer Books & Records Requirements list 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 organizes each record into separate categories and includes a detailed description of each record along with the corresponding retention requirements and specific rule reference for easy use and quick reference.

Update: June 28, 2017

Total Page Count: 4

Source/Author(s): Connexien