Series 27: FINRA Recordkeeping Requirements

Taken from our Series 27 Online Guide

FINRA Recordkeeping Requirements

Where the rules do not explicitly state a time period, preservation of books and records required by the Exchange Act, its rules, and its regulations, and by FINRA must continue for a period of at least six years.

FINRA Rule 4511

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Series 27: FINRA Recordkeeping Requirements

Taken from our Series 27 Online Guide

FINRA Recordkeeping Requirements

Since you're reading about Series 27: FINRA Recordkeeping Requirements, you might also be interested in:

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