BD- FINRA Books and Records Requirements Checklist

Section 17(a)(1) of the Securities Exchange Act of 1934 ("Exchange Act" or "SEA") requires registered broker-dealers to make, keep, furnish and disseminate records and reports prescribed by the Securities and Exchange Commission ("SEC").  FINRA’s Checklist summarizes some of the books and records that FINRA Member broker-dealers are required to create and retain in accordance with Rules 17a-3 and 17a-4 under the Securities and Exchange Act of 1934 (“SEA”).  Members also downloaded the Broker-Dealer Books & Records File Management Directory.

Version/Update: V.U/January 20, 2022

Total Page Count/Format: 29/.pdf

Source/Author(s): FINRA