CFTC Record Retention Schedule | Practical Law

CFTC Record Retention Schedule | Practical Law

A schedule of the records that entities regulated by the US Commodity Futures Trading Commission (CFTC) must retain, including certain national securities exchange members, brokers and dealers, money market funds, registered investment companies, investment advisors, and transfer agents.

CFTC Record Retention Schedule

Practical Law Standard Document w-001-8248 (Approx. 57 pages)

CFTC Record Retention Schedule

by Practical Law Litigation
MaintainedUSA (National/Federal)
A schedule of the records that entities regulated by the US Commodity Futures Trading Commission (CFTC) must retain, including certain national securities exchange members, brokers and dealers, money market funds, registered investment companies, investment advisors, and transfer agents.