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Miscellaneous FINRA Rules

Miscellaneous FINRA Rules

FINRA Rule, Books and Records

And now we move on to recordkeeping, everyone’s favorite topic. What does FINRA have to say about recordkeeping?


Each member shall make and preserve books, accounts, records, memoranda, and correspondence in conformity with all applicable laws, rules, regulations and statements of policy promulgated there under and with the Rules of this Association and as prescribed by SEC Rule 17a-3.

This rule also outlines the information a member firm needs to obtain from the ...

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