Maintaining Accurate Records and Documentation
The Importance of Record Keeping for Note BrokersContents1 The Importance of Record Keeping for Note Brokers2 Understanding Record Retention Requirements for Brokers3 Books and Records Requirements for Broker-Dealers4 Securities Exchange Act and Record Keeping Rules5 Specific Records that Broker-Dealers Must Maintain6 Effective Date of Rules a- and a-7 Policies and Procedures for Record Keeping Compliance8 […]
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