Broker-Dealer Recordkeeping | Practical Law

Broker-Dealer Recordkeeping | Practical Law

This Practice Note discusses the key recordkeeping requirements for broker-dealers under Section 17(a) of the Exchange Act and its underlying rules, other relevant SEC rules and FINRA rules. Broker-dealers are required to create certain records relating to their businesses and maintain those records for specified timeframes.

Broker-Dealer Recordkeeping

Practical Law Practice Note w-000-4869 (Approx. 16 pages)

Broker-Dealer Recordkeeping

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Practice Note discusses the key recordkeeping requirements for broker-dealers under Section 17(a) of the Exchange Act and its underlying rules, other relevant SEC rules and FINRA rules. Broker-dealers are required to create certain records relating to their businesses and maintain those records for specified timeframes.