Series 54: G-44 Recordkeeping Requirements

Taken from our Series 54 Online Guide

G-44 Recordkeeping Requirements

Records relating to G-44 must be maintained for five years, except in the circumstances specifically noted in parentheses below. The records that must be maintained include:

•Written supervisory procedures

•A record of all designations of the supervisory municipal advisory principals responsible for supervision (shall be preserved for the period of designation of each person and for at least six years following any change in such designation)

•Records of the reviews of the firm’s written compliance p

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