Broker-Dealer Recordkeeping Schedule | Practical Law
https://content.next.westlaw.com/practical-law/document/If454e7058eb511e9adfea82903531a62/Broker-Dealer-Recordkeeping-Schedule?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This Standard Document details the records that broker-dealers must create under the Exchange Act as well as key FINRA Rules. This document also describes the minimum time-period that each record must be maintained.
Enter to open, tab to navigate, enter to select
US Home
Global Home
NEW
Sign in
Sign in
All content
Search:
Search Westlaw
Search Tips
Advanced
Broker-Dealer Recordkeeping Schedule
Practical Law Standard Document w-020-8138
(Approx. 16 pages)
Broker-Dealer Recordkeeping Schedule
by Practical Law Corporate & Securities
Related Content
Maintained
•
USA (National/Federal)
This Standard Document details the records that broker-dealers must create under the Exchange Act as well as key FINRA Rules. This document also describes the minimum time-period that each record must be maintained.