13.2 Recordkeeping and Reporting

In this section

• Required Records for Broker-Dealers and Registered Representatives
  Comprehensive guide on required records for broker-dealers and registered representatives, covering customer account records, transaction records, communications, and financial reports. Understand the importance of accuracy, supervisory procedures, and compliance with SEC and FINRA regulations.
• Retention Periods in Securities Recordkeeping
  Explore the essential retention periods for securities records, including compliance with SEC Rule 17a-4 and FINRA guidelines, to ensure regulatory adherence and avoid penalties.
• Electronic Storage Standards for Securities Recordkeeping
  Explore the comprehensive guide to electronic storage standards in securities recordkeeping, focusing on regulatory compliance, WORM technology, and SEC Rule 17a-4(f).