Series 50: Preservation Of Books And Records (MSRB Rules G-8 And G-9)

Taken from our Series 50 Online Guide

Preservation of Books and Records (MSRB Rules G-8 and G-9)

Under MSRB Rule G-9, records must be maintained for various periods of time and kept for ready inspection by any regulatory authority that has jurisdiction over the advisor or broker-dealer.

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