Series 22: 6.4.2. Six-Year Records

Taken from our Series 22 Top-off Online Guide

6.4.2. Six-Year Records

If FINRA or SEC rules do not specify a time period for a specific book or record, it should be kept at least six years. Records associated with blotters, ledgers, and securities must be retained for six years. These items may be defined as follows:

Blotters are records containing detailed reports of all purchases and sales of securities, receipts and deli

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