Series 53: Recordkeeping Responsibilities

Taken from our Series 53 Online Guide

Recordkeeping Responsibilities

Besides reporting trades to the MSRB, a broker-dealer is required to keep thorough records of each agency order and each purchase or sale it transacts as

Since you're reading about Series 53: Recordkeeping Responsibilities, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 53
Please Enable Javascript
to view this content!