BD- Broker-Dealer List of Books and Records & Retention Requirements

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