BD- Broker-Dealer Books & Records File Management Directory

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. Members also downloaded the FINRA Books and Records Requirements Checklist. 

Version/Update: V.3/June 5, 2023

Total Page Count/Format: 5/.pdf

Source/Author(s): Connexien