Under SEC Rule 17a-4, what portion of the 3-year retention period must many records be kept in an easily accessible place?
QUESTION
Under SEC record rules, what document is required to show each associated person's name and start/stop dates?
QUESTION
What SEC rule is the primary federal standard for broker-dealer books, records, and retention?
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ANSWER
SEC Rule 17a-4 (with 17a-3 specifying records to make). SEC Rule 17a-4 mandates the preservation periods for broker-dealer records, complemented by Rule 17a-3 which details the specific records that must be created.