Series 52: 9.3. Books And Records

Taken from our Series 52 Online Guide

9.3. Books and Records

It is simply good business practice to keep and preserve records of a company’s activities and communications with its customers and of its financial condition. For regulatory purposes, the MSRB outlines in very specific detail what records it expects broker-dealers to keep, and it imposes strict timelines for maintaining each of those records.

Broker-dealers are not required to maintain the books an

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