Series 99: 1.2.3.6 FINRA Recordkeeping Requirements

Taken from our Series 99 Top-off Online Guide

1.2.3.6 FINRA Recordkeeping Requirements

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

FINRA Rule 4511

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