BD- Broker-Dealer Books & Records File Management Directory


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The Updated Broker-Dealer Books & Records File Management Directory serves as a useful guide when organizing and mapping a broker-dealer’s electronic 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 maintain organized records as well as facilitate the production of books and records during a regulatory examination.

Version/Update: V.2/March 1, 2022

Total Page Count/Format: 5/.pdf

Source/Author(s): Connexien