Series 24: Three-year Records

Taken from our Series 24 Online Guide

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Three-year Records

Most other records must be retained for three years. They include:

• A memorandum of each brokerage order given or received for the purchase or sale of securities for customer and firm accounts. This memorandum must include the following:
» terms and conditions of the order
» account for which it was entered
» time the order was received
» time of entry
» price at which executed
» identity of each associated person, if any, responsible for the account
» identity of any other person who entered or accepted the order on behalf of the customer
» time of execution or cancellation
• A memorandum of each purchase and sale for the firm’s account. This must show the same information as above.
• Copies of customer confirmations and copies of notices of all other debits and credits for customer accounts.
• Identification data on beneficial owners of all accounts. This must include the

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