SEC Record Retention Schedule | Practical Law

SEC Record Retention Schedule | Practical Law

A Standard Document schedule of the records that entities regulated by the Securities and Exchange Commission (SEC) must retain, including certain national securities exchange members, brokers and dealers, money market funds, registered investment companies, investment advisers, and transfer agents.

SEC Record Retention Schedule

Practical Law Standard Document 1-602-0685 (Approx. 73 pages)

SEC Record Retention Schedule

by Practical Law Litigation
MaintainedUSA (National/Federal)
A Standard Document schedule of the records that entities regulated by the Securities and Exchange Commission (SEC) must retain, including certain national securities exchange members, brokers and dealers, money market funds, registered investment companies, investment advisers, and transfer agents.