Recordkeeping Requirements for Broker-Dealer Security-Based Swap Dealers | Practical Law

Recordkeeping Requirements for Broker-Dealer Security-Based Swap Dealers | Practical Law

This Standard Document details the additional records that broker-dealers conducting security-based swap activity must create under Exchange Act Rules 17a-3 and 17a-4. This document also describes the minimum time-period that broker-dealers must maintain these records.

Recordkeeping Requirements for Broker-Dealer Security-Based Swap Dealers

Practical Law Standard Document w-024-2001 (Approx. 7 pages)

Recordkeeping Requirements for Broker-Dealer Security-Based Swap Dealers

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Standard Document details the additional records that broker-dealers conducting security-based swap activity must create under Exchange Act Rules 17a-3 and 17a-4. This document also describes the minimum time-period that broker-dealers must maintain these records.