Broker-Dealer Recordkeeping Schedule | Practical Law

Broker-Dealer Recordkeeping Schedule | Practical Law

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.

Broker-Dealer Recordkeeping Schedule

Practical Law Standard Document w-020-8138 (Approx. 16 pages)

Broker-Dealer Recordkeeping Schedule

by Practical Law Corporate & Securities
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.